Job Opening: RIA in NYC Looking for a Compliance Associate

RIA in NYC Looking for a Compliance Associate

Key Responsibilities:

• Work with the Chief Compliance Officer (CCO) to support Firm-wide compliance programs and initiatives
• On-going compliance monitoring and testing of the compliance program; perform periodic testing of documented compliance processes and procedures; document Code of Ethics testing and prepare reports
• Review regulatory filings, documents, correspondence, and advertising materials for compliance and keep abreast of ongoing changes in the regulatory environment.
• Assist with compliance review and approval of marketing materials
• Communicate pertinent information with regulatory agencies, outside counsel, auditors, and third-party vendors and contractors
• Assist with coordination of all regulatory examinations and compliance audits, and conduct initial and ongoing due diligence on sub-advisers
• Effectually maintain all books and records as required, pursuant with applicable regulations and keep entities current on all regulatory filings
• Attend various compliance seminars and training sessions and effectively communicate the contents of the presentations to the Firm’s associates
• Conduct reviews and forensic tests that support policies and procedures reasonably designed to prevent, detect and correct violations of anti-corruption laws, including the FCPA, and to address risks and conflicts of interests
• Under guidance from senior compliance personnel, interact with business unit partners in order to ensure effective controls are in place to ensure compliance with applicable rules and regulations
• Assist the firm in implementing corrective actions as identified by the compliance program

Key Qualifications:
• Ideal candidate will have two years of experience
• Room for growth
• Strong Excel, Power Point, Word skills

Please send resumes to

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