Compliance Associate

Responsibilities

• Advising clients on compliance matters, including oversight of personal trading, email review, monitoring of firm trading activity, and maintaining restricted lists

• Preparation and filing of required regulatory filings including Form ADV and Form 13's

• Manage client registration with applicable regulators including SEC and CFTC

• Assist with regulatory examinations of client compliance programs conducted by regulatory authorities including SEC, NFA, and state regulator

• Ensure that compliance violation items are properly investigated, documented, and action completed, as per client policies and procedures

• Analysis of regulatory environment updates and consideration of application for clients

• Review and advise on clients marketing and advertising materials in line with the Advisers Act and other applicable regulatory requirements

• Present/participate in compliance training for clients and their employees annually

• Review of documents and data enabling analysis, critical and technical thinking, for appropriate well thought out decisions

• Eye for quality and accuracy of work product

• High-level first-class communication with regulators, industry contacts, clients and CFO team.

• Considerable use of tact, diplomacy, confidentiality, discretion, and judgement.