Compliance Associate - Accelerated development program
Consultant Christian Lewis
JobRef 113042/0012019-04-18 2019-05-28 financial-services permanent US Boston Massachusetts 590 Madison Ave, New York, NY 10022 10022 USD 60000 70000 70000 YEAR Robert Walters https://www.robertwalters-usa.com https://www.robertwalters-usa.com/content/dam/robert-walters/global/images/logos/web-logos/logo.gif
A top tier Alternative Asset Manager is currently in search for a Compliance Associate in a three year accelerated development program with broad exposure to the business.
- Address compliance and risk-related matters, questions and concerns raised by the business(es) she/he covers.
- Develop and implement all compliance requirements in the business(es).
- Partner with the Investment staff to trouble-shoot compliance-related questions.
- Partner with the Trading Desk to assess trading compliance questions.
- Collaborate with the Investor Relations business unit compliance officer to review and document advertising and marketing materials to ensure consistency and high standards of disclosures.
- Collaborate with the Compliance team to cover all business areas. Each person will have a primary and back up business coverage assignment to ensure a broad and consistent knowledge base.
- Coordinate with Compliance team members on committee presentations.
- Work with Compliance Department to ensure relevant regulatory filings, including Form ADV, Form PF, and other filings, are submitted appropriately.
- Respond to issues and questions identified by the surveillance staff. Work with the business unit compliance officers to identify solutions for systematic issues.
- Assist with compliance assurance matters and examination readiness. Work with business unit compliance officers to identify solutions for issues.
- Communicate to management all issues and risks that need to be addressed.
- Work with business unit compliance officers to develop applicable policies and procedures for business unit functions.
- Work on long term projects aimed at strengthening the compliance program.
- Bachelor’s degree.
- Dedicated team player with a strong sense of ownership and follow-through skills.
- Collegial and team-oriented.
- Capacity to handle highly confidential and sensitive information.
- Detail-oriented, conscientious and energetic professional with the ability to think creatively.
- Excellent organizational skills; ability to prioritize multiple projects with high attention to detail.