The Compliance Associate plays a key role in supporting the firm’s compliance framework. This individual will help develop, administer, and manage employee compliance reporting, web-based training programs, anti-money laundering (AML), and customer due diligence efforts. This role also contributes to the ongoing enhancement and execution of the firm’s overall compliance and corporate maintenance programs.
Key Responsibilities:
- Coordinate onboarding compliance training for new employees and serve as a point of contact for compliance and ethics-related inquiries.
- Initiate and oversee quarterly firm-wide certifications, ensuring timely employee completion.
- Lead and monitor Corporate Actions, collaborating with the Legal department to meet key deadlines.
- Review employee disclosures; prepare and present quarterly and annual compliance reports to senior management.
- Partner with internal departments on AML and client due diligence matters.
- Support employees with data entry related to account activity, including account openings/closings, stock splits, and trade confirmations.
- Liaise with brokerage firms to manage employee account data and maintain data feed integrity.
- Ensure all compliance issues are thoroughly investigated, documented, and addressed appropriately.
- Assist in maintaining and updating the firm’s Compliance Manual, Form ADV, and regulatory filings.
- Prepare timely, accurate, and objective compliance reports for senior leadership.
- Take on additional compliance-related tasks as needed.
Qualifications:
- Bachelor’s degree (BA/BS) required.
- 1–2 years of experience in a compliance-related role, preferably within a registered investment advisor or regulatory body.
- Strong attention to detail and excellent organizational skills.
- Ability to work independently and meet deadlines effectively.
- Strong communication skills with the ability to interact across all levels of the organization.
