Buy Side Compliance Associate

Overview

• Support compliance operations for a leading investment firm specializing in sustainable energy initiatives.
• Administer compliance systems, ensuring adherence to industry regulations and standards.
• Collaborate with internal teams to manage employee approvals and surveillance activities.
• Conduct compliance testing and annual program reviews in partnership with consultants.
• Review marketing materials and investor communications for regulatory compliance.
• Assist with onboarding new employees and providing initial compliance training.
• Support regulatory filings, including Form ADV and Form PF submissions.
• Contribute to risk assessments and compliance training initiatives.
• Opportunity to work in a hybrid environment with a focus on professional growth.

Key Responsibilities & Duties

• Administer and manage the compliance system, including broker data feeds.
• Oversee employee approvals and surveillance, addressing conflicts or violations.
• Conduct routine and ad hoc compliance testing with consultants.
• Review marketing and investor materials for regulatory adherence.
• Assist in onboarding new employees and setting up compliance profiles.
• Support regulatory filings, including Form ADV and Form PF submissions.
• Develop and enhance compliance training programs and risk assessments.
• Collaborate with internal teams to ensure compliance standards are met.
• Contribute to the continuous improvement of compliance processes.

Job Requirements

• Bachelor of Science (BS) degree in a relevant field.
• Minimum of 2 years of compliance experience, with 5 years preferred.
• Proficiency in compliance systems and regulatory filings.
• Strong knowledge of industry regulations and standards.
• Experience in conducting compliance testing and program reviews.
• Ability to manage employee approvals and surveillance activities.
• Excellent communication and organizational skills.
• Capability to work effectively in a hybrid environment.
• Commitment to maintaining high compliance standards and ethical practices.