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Compliance Associate
4 weeks ago
1. Responsible for the firm’s Code of Ethics administration through Ascendant Compliance Manager, including the establishment, dissemination and tracking of compliance certifications and the ad hoc review of potential violations2. Assist the CCO in the administration of firm’s compliance program, including management of the compliance calendar, oversight of record-keeping and maintenance of policies and procedures3. Manage and facilitate the production of records for various firm audits and examinations, including but not limited to regulatory examinations, SOC1 and GIPS verification4. Prepare due diligence responses from potential investors along with questionnaires from current investors5. Review daily trading reports to identify any potential trading issues to escalate to senior Compliance management, and as necessary, individuals across the company including Portfolio Management6. Assist the CCO with the annual review process, including testing of policies and procedures to ensure compliance with such policies and internal control.
Required Skills:
- Bachelor’s degree required- 6-8 years of experience of compliance related experience at an SEC-registered investment adviser or other regulated financial institution- Strong analytical mindset with an ability to synthesize data and quickly identify and resolve issues and with attention given to detail and accuracy- Technical and professional skills or knowledge of testing methodology, risk and controls analysis- Ability to lead and execute multiple projects (short and long term) and tasks independently, accurately and on time- Experience with drafting, implementing and testing policies and procedures- Excellent organizational, problem-solving, decision-making and time management skills- Advanced proficiency with Microsoft Office Suite
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