Compliance Associate

Overview

• Support compliance initiatives to ensure adherence to industry regulations and internal policies, fostering a culture of integrity and accountability.
• Assist in monitoring investment guidelines and conducting compliance testing to maintain operational excellence and regulatory compliance.
• Manage documentation for employee personal trading accounts and broker feeds, ensuring accurate and timely transaction reporting.
• Conduct reviews of political contributions, gifts, and entertainment approvals to uphold ethical standards.
• Prepare materials for governance and compliance committee meetings, contributing to strategic decision-making processes.
• Support the firm’s AML/KYC program and monitor sanctions lists to ensure compliance with international standards.
• Contribute to forensic testing and compliance annual reviews, ensuring thorough and accurate assessments.
• Assist with employee onboarding and offboarding processes, ensuring seamless transitions and adherence to compliance protocols.

Key Responsibilities & Duties

• Review certifications and preclearance requests, maintaining accurate logs and records for compliance tracking.
• Initiate and maintain broker feeds for transaction reporting, addressing alerts and discrepancies promptly.
• Conduct ad hoc email reviews and document expert network calls, ensuring compliance with communication policies.
• Assist in reviewing NDAs and Joinders, ensuring contractual compliance and proper documentation.
• Monitor and document trade errors, ensuring adherence to investment guidelines and prompt resolution.
• Prepare materials for compliance committee meetings, facilitating informed decision-making and policy updates.
• Support AML/KYC program management and monitor OFAC lists to ensure compliance with international regulations.
• Collaborate with team members to ensure accurate and timely compliance reporting and regulatory filings.

Job Requirements

• Bachelor’s degree in a relevant field is required, demonstrating foundational knowledge for compliance roles.
• 2-4 years of experience in compliance or related roles, preferably within buy-side trading environments.
• Proficiency in Excel, Word, and PowerPoint is essential for effective documentation and reporting.
• Strong written and oral communication skills to convey complex information clearly and effectively.
• Attention to detail and ability to meet deadlines in a fast-paced environment.
• Self-starter with excellent organizational skills and the ability to manage multiple tasks simultaneously.
• Team player with high ethical standards and a commitment to maintaining confidentiality.
• Experience with AML/KYC programs and regulatory filings is highly desirable.