Job Description

Compliance Associate | Greenwich, CT | Alternative Investment Firm

The Compliance Associate will be responsible for assisting with the efficient execution and administration of the Firm’s compliance program, identifying and implementing opportunities to streamline core compliance functions and an array of ongoing compliance tracking and testing to ensure the Firm is meeting its compliance requirements, responsibilities, and goals. In addition to ongoing compliance tasks such as preparing regulatory filings (annual ADV, quarterly Form PF, etc.), the Compliance Associate also assists with legal matters, including review and tracking of NDAs, responding to client/prospect due diligence requests, side letter review and tracking, review of fund documents, and other ad hoc projects.

This is an excellent opportunity for an ambitious compliance professional to contribute to an entrepreneurial, growing organization. The position will report into the General Counsel/Chief Compliance Officer and will be in the Greenwich office 5 days a week.

Responsibilities:

• Facilitating the timely completion of regulatory filings such as ADV, Form D, 13F/G/H, Form PF, etc.
• Management of annual mock SEC exam and recurring external/internal electronic communications reviews
• Management and facilitation of annual compliance training and new employee compliance onboarding and training
• Annual update of the Compliance Manual and other related policies
• Supporting the firm’s Code of Ethics and ensuring compliance with regulatory requirements including new hire and ongoing certifications, and personal trading and political contributions, gifts & entertainment, and outside business activities preclearance and tracking using the firm’s Compliance platform and related broker feeds/attestations
• Management of Expert network screening/approval and call chaperoning (where required)
• Conducting research on regulatory practices and changes impacting the investment management industry
• Tracking and management of compliance processes such as best execution, proxy voting, outside business activities, conflicts of interest, restricted list, NDA tracker counterparty risk, ESG reporting, marketing material review, and maintenance of compliance breach logs
• Monitoring of Data rooms
• Preparing Valuation committee minutes and quarterly valuation packs

• Bachelor’s degree, with a concentration in Business, Accounting, Finance, or other related discipline; JD or LLM/MLS in corporate compliance is preferred
• Five+ years of relevant work experience with a financial institution such as a broker/dealer, registered investment adviser, regulatory agency, or other financial institution
• Prior experience with the Investment Advisers Act of 1940

Job Tags

Similar Jobs