Compliance Associate
Purpose of Position This is a permanent in-house Compliance Officer role in our New York office, reporting either to the Head of Compliance, Americas or Compliance Officer.
The overall purpose of this role is to assist with the work undertaken by the compliance team in the US & globally.
Key Responsibilities Collate information and assist in the preparation of routine regular and ad-hoc regulatory reporting, including filings to regulators including Form ADV & Form PF for the SEC.
Review of Marketing Material Independent review of incoming alerts & maintenance of the ACA Compliance Alpha system to support independent assessment of compensability for approving personal account trading, gifts & entertainment, and outside business interests.
Global Compliance Monitoring Program - independently conduct testing of the firm's adherence to regulatory guidelines and policies & procedures, including applicable reporting of results to the boards.
AML/KYC checks of new investors; prepare KYC certifications of new investors and draft letters of introduction to third parties Prepare materials for US and Global Board reporting/submission Manage and assist with global Compliance projects Assist with the maintenance and updates of policies and procedures Assist with Compliance training, including new hire training Assist with PSL (broker dealer) monthly metrics (monitoring and testing program) & other regular reporting/oversight for the BD entity for submission to senior management Compliance recordkeeping associated with adherence to the Global Code of Ethics - personal trading, outside business activities, gifts & entertainment, etc.
Review of Regulatory Developments/Notices relevant to the group & writing entries for the internal Legal, Regulatory and Tax updates Coordinate with internal groups (tax, finance, operations, human resources, marketing, investor relations and investment teams) General administrative and routine tasks (e.
g.
, filing, upkeep of various recordkeeping logs including but not limited to Training, Conflicts of Interest, Breaches & Errors / Disciplinary Log, Restricted List, Registrations, etc.
) Regular interface with internal and outside counsel/consultants/service providers regarding regulatory matters Additional tasks at the request of the Chief Compliance Officer and Compliance Officer, Americas Qualifications, Knowledge and Experience Required Experience with filing Form ADV and Form PF Proficient in Microsoft Office (Word, Excel, PowerPoint, Outlook, etc) and Adobe Pro and PDF editing skills Attention to detail, approach work methodically Willingness to learn, ask questions and seek information from US and global perspective, proactive approach, a desire to solve problems and improve process Cooperative demeanor, ability to work with different personalities, excellent communication skills and team-player Good organizational skills and ability to prioritize workflow Strong time management skills, including the ability to work independently and to work on several projects simultaneously Good timekeeping and prepared to work flexibly on different types of projects to meet the needs of the business Bachelor's degree Qualifications, Knowledge and Experience Preferred but Non-Essential 2-4 years' experience in Compliance with private equity or other alternative investments or asset management is a plus FINRA licenses Series 7, 63, 24 a plus - this will be required within 6 months of hire Experience supporting Investment Advisors registered with the SEC and/or broker dealer registered with the Financial Industry Regulatory Authority (FINRA); (FCA and CBI a plus) Experience with FINRA Gateway/WebCRD (entering U-4/U-5) Experience with ACA Compliance Alpha platform or similar platform Experience with World Check One or similar AML/KYC check system Experience with Global Relay or similar email archiving/reviewing system Recommended Skills Administration Adobe Asset Management Attention To Detail Communication Coordinating Estimated Salary: $20 to $28 per hour based on qualifications.
The overall purpose of this role is to assist with the work undertaken by the compliance team in the US & globally.
Key Responsibilities Collate information and assist in the preparation of routine regular and ad-hoc regulatory reporting, including filings to regulators including Form ADV & Form PF for the SEC.
Review of Marketing Material Independent review of incoming alerts & maintenance of the ACA Compliance Alpha system to support independent assessment of compensability for approving personal account trading, gifts & entertainment, and outside business interests.
Global Compliance Monitoring Program - independently conduct testing of the firm's adherence to regulatory guidelines and policies & procedures, including applicable reporting of results to the boards.
AML/KYC checks of new investors; prepare KYC certifications of new investors and draft letters of introduction to third parties Prepare materials for US and Global Board reporting/submission Manage and assist with global Compliance projects Assist with the maintenance and updates of policies and procedures Assist with Compliance training, including new hire training Assist with PSL (broker dealer) monthly metrics (monitoring and testing program) & other regular reporting/oversight for the BD entity for submission to senior management Compliance recordkeeping associated with adherence to the Global Code of Ethics - personal trading, outside business activities, gifts & entertainment, etc.
Review of Regulatory Developments/Notices relevant to the group & writing entries for the internal Legal, Regulatory and Tax updates Coordinate with internal groups (tax, finance, operations, human resources, marketing, investor relations and investment teams) General administrative and routine tasks (e.
g.
, filing, upkeep of various recordkeeping logs including but not limited to Training, Conflicts of Interest, Breaches & Errors / Disciplinary Log, Restricted List, Registrations, etc.
) Regular interface with internal and outside counsel/consultants/service providers regarding regulatory matters Additional tasks at the request of the Chief Compliance Officer and Compliance Officer, Americas Qualifications, Knowledge and Experience Required Experience with filing Form ADV and Form PF Proficient in Microsoft Office (Word, Excel, PowerPoint, Outlook, etc) and Adobe Pro and PDF editing skills Attention to detail, approach work methodically Willingness to learn, ask questions and seek information from US and global perspective, proactive approach, a desire to solve problems and improve process Cooperative demeanor, ability to work with different personalities, excellent communication skills and team-player Good organizational skills and ability to prioritize workflow Strong time management skills, including the ability to work independently and to work on several projects simultaneously Good timekeeping and prepared to work flexibly on different types of projects to meet the needs of the business Bachelor's degree Qualifications, Knowledge and Experience Preferred but Non-Essential 2-4 years' experience in Compliance with private equity or other alternative investments or asset management is a plus FINRA licenses Series 7, 63, 24 a plus - this will be required within 6 months of hire Experience supporting Investment Advisors registered with the SEC and/or broker dealer registered with the Financial Industry Regulatory Authority (FINRA); (FCA and CBI a plus) Experience with FINRA Gateway/WebCRD (entering U-4/U-5) Experience with ACA Compliance Alpha platform or similar platform Experience with World Check One or similar AML/KYC check system Experience with Global Relay or similar email archiving/reviewing system Recommended Skills Administration Adobe Asset Management Attention To Detail Communication Coordinating Estimated Salary: $20 to $28 per hour based on qualifications.
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