Compliance Associate

Overview

• Contribute to compliance and regulatory processes for a leading investment advisory firm.
• Collaborate with the compliance team to ensure adherence to global regulatory standards.
• Engage in audits, filings, and compliance training activities to maintain operational integrity.
• Support the development and enhancement of compliance policies and procedures.
• Assist in risk-based testing and themed reviews to identify and address compliance gaps.
• Maintain accurate records and documentation for compliance-related processes.
• Contribute to the firm's ethical standards and regulatory adherence initiatives.
• Work in a collaborative and team-oriented environment with regular staff engagements.

Key Responsibilities & Duties

• Perform reviews and testing of written communications and code of ethics compliance.
• Complete regulatory filings for the firm in the US and Canada.
• Assist in the development and maintenance of compliance manuals and disclosure documents.
• Manage custody audits, GIPS verification, and other compliance-related audits.
• Conduct compliance training sessions and support policy development initiatives.
• Review marketing and client reporting materials for compliance adherence.
• Perform risk-based testing and ad-hoc reviews of compliance processes.
• Respond proactively to regulatory changes impacting the firm's operations.

Job Requirements

• Bachelor’s degree in finance, economics, or a related field.
• Minimum of 2 years of experience in compliance, preferably in investment advisory.
• Strong organizational skills with the ability to prioritize and meet deadlines.
• Exceptional problem-solving and analytical skills with attention to detail.
• Effective communication and presentation skills, both verbal and written.
• Integrity and adherence to ethical principles in professional conduct.
• Ability to work independently and collaboratively in a team environment.
• Proficiency in managing compliance audits and regulatory filings.