Buy Side Compliance Associate

Duties:

• Assist with annual compliance review, preparation of annual report on policies and procedures
• Develop, review and revise policies and procedures
• Assist with employee compliance training and development and new hire onboarding
• Assist with preparation of information and coordination for SEC and NFA examination  
• Assist with regulatory filings and internal controls requests (e.g. ADV, PF‐PQR, and other state and federal filings,
• SOC, annual audit).  
• Perform periodic back‐testing of policies (e.g., Allocation Policy, Valuation Policy, Code of Ethics, Compliance
• Manual, etc.)  
• Perform required annual diligence on administrator anti‐money laundering procedures
• Ongoing preparation and maintenance of committee and board meeting minutes  
• Assist with compliance surveillance (e.g., email surveillance, political contributions preclearances, personal
• trading preclearances, etc.)
• Lead or assist in special projects

Qualifications: 

• Bachelor’s degree in relevant field required 
• 2-5 years of Experience in buy side asset management compliance
• 1940 Act knowledge
• Experience in the financial services industry, with a focus on legal or compliance functions 
• Demonstrated knowledge of regulatory requirements