A 50+ year old boutique money management firm seeks a Compliance Associate to work closely with the Chief Compliance Officer. This is a fantastic opportunity to break out of a siloed position and become a well-rounded generalist. You will have a unique chance to work with the firm’s executives and portfolio managers. There will be close collaboration with other divisions.

Here’s what you will do:

You will report directly to the Chief Compliance Officer and have a dotted line to the Chief Operating Officer. You’ll be responsible for a vast array of Compliance related matters.

  • Review fund guidelines and conduct surveillance of the buys and sells in the portfolios
  • Responsible for institutional client and fund reporting
  • Involved with due diligence questionnaires
  • Oversee trade allocation reviews
  • Review separately managed account performance & holdings dispersion
  • Advertising and marketing materials review
  • Review client and business-related communication
  • Administer the Firm’s Code of Ethics including employee personal trading and outside business activities

What the company seeks in a candidate:

  • The successful candidate should have at least three years’ experience with compliance issues in the investment advisor industry and have a broad understanding of the Investment Advisors Act of 1940 and the Investment Company Act of 1940.
  • Knowledge of GIPS (performance measurement)
  • Bachelor’s Degree
  • Position requires Series 7 & 24 registrations either prior or after employment.

Please email resumes to Jack Kelly at Jack@ComplianceSearch.com

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