Position Overview
The Compliance Associate will be responsible for implementing and overseeing the firm’s compliance program. This role requires an understanding of the regulatory landscape affecting investment advisers, particularly the Investment Advisers Act of 1940, and the ability to navigate complex international regulations.
Key Responsibilities
· Manage process for employee personal trade reviews, employee certifications and employee gift/entertainment requests
· Track and manage compliance areas including proxy voting, NDA tracker, and assist with vendor due diligence process
· Assist with SEC and regulatory filings, including foreign ownership filings
· Assist with compliance training and onboarding for new hires
· Approve, log and monitor expert network calls
· Research and resolve issues, provide recommendations and escalate to senior management as needed
· Support and assist with special project and ad hoc requests
Qualifications
Education: Undergraduate degree demonstrating academic excellence.
Experience: Minimum of 1-4 years of experience in compliance within the investment advisory or
financial services industry.
Knowledge: In-depth knowledge of SEC regulations, the Investment Advisers Act, and international compliance standards, particularly in Europe and Asia a plus.
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