Compliance Associate
Our client, an investment management firm, is looking for a Compliance Associate to provide support to the business through the development, review and production of processes, standards, policies, and guidelines which are required to facilitate compliance with regulatory standards.
Compliance Aaaociate Responsibilities
* Assist in the maintenance of restricted and watch lists;
* Assist in tracking/documenting compliance projects, compliance affirmations, reviews, and deadlines;
* Assist in the review and production of compliance policies and procedures ensuring that regulatory policies are kept up to date;
* Work closely with various teams within the firm to provide analysis and resolution on compliance related matters;
* Assist in reviewing personal trading of employees and related accounts - pre-clearance, evaluate trade blotter versus personal trades, and keep files of employee brokerage statements up to date.
* Monitor compliance restrictions of client accounts in a systematic, proactive fashion. Help define and perform accurate restriction tests. Draft and send compliance documents to clients monthly/quarterly/annually;
* Assist in compiling and reviewing all ongoing regulatory filings 13F, 13G, ADV, U4, U5, state registrations and foreign registrations;
* Assist in researching new regulations and guidelines;
Necessary Skills and Qualifications
* Bachelor's Degree;
* Basic knowledge of the securities industry required;
* 1-3 years of industry experience - Compliance experience is not necessary but a plus;
To apply for this Investment Management Compliance position, please contact Karen Lieu via karen.lieu@robertwalters.com or 212-704-9900. To see more compliance opportunities, please visit the Robert Walters website.