Under the guidance of the Chief Compliance Officer and Compliance Director, the Compliance Associate is responsible for the coordination, ongoing development and administration of employee reporting, web-based compliance training, and anti-money laundering (AML) and customer due-diligence programs. The Compliance Associate will also participate in the development and implementation of the Firm’s overall compliance program and corporate reporting and maintenance program.
RESPONSIBILITIES
• Responsible for new employee training and reporting requirements, serving as a resource for employees with compliance and ethics questions.
• Initiate and manage quarterly firm-wide certifications and assist employees to ensure timely completion.
• Lead Corporate Actions and work with the Legal department to ensure that all deadlines are met.
• Review employee disclosures and provide quarterly and annual reports to senior management.
• Work with other departments within the Firm on AML issues and client due diligence.
• Assist employees with data entry, opening and closing of accounts, stock splits, trade confirmation.
• Maintain correspondence with brokers concerning employee accounts and data feed maintenance.
• Ensure that all compliance matters are properly investigated and that appropriate action is taken and documented.
• Prepare and present timely, accurate and objective reports to senior management as required.
• Perform other ad hoc responsibilities as assigned.
• Assist on periodic updates to the Firm’s Compliance Manual, Form ADV and other regulatory filings.
MINIMUM QUALIFICATIONS
• BA/BS degree
• Preferably 1-2 years of compliance related experience with a registered investment advisor or regulator
• Ability to meet deadlines and work well independently
• Strong organizational skills and attention to detail
• Ability to communicate with employees at all levels of the organization
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