Our client is seeking a Compliance Associate to join their team and assist with developing & implementing compliance procedures.
Key Responsibilities:
• Assist with regulatory filings, inquiries, and exams
• Maintain the firm's policies and procedures
• Assist with researching new compliance rules and implementing policy updates
• Perform employee personal trade reviews, gift/entertainment, political contributions, and outside business activities
• Assist with firm trade compliance monitoring
Qualifications:
• Bachelor's Degree
• 2-5 Years of compliance experience at an SEC-registered investment advisor
• General knowledge of CFTC and SEC frameworks
