High End Mid-Sized Fund seeks Compliance Associate with 3-5 years of experience.
We are looking for an energetic, organized, detail-oriented individual who is highly motivated and enthusiastic joining a small tight knit Compliance team where you will help to manage the daily, weekly, monthly, and quarterly deliverables.
These responsibilities focus on portfolio and trade surveillance to ensure that the firm maintains compliance with client guidelines and regulatory requirements, conducting transactional, forensic testing and compliance reviews.
This is a great career opportunity with a firm that offers extensive professional training and the opportunity for advancement.
In summary you will assist in supporting senior Compliance members in the following areas:
Specifically, you will:
Assist with compliance program; onboard new employees to ComplySci, set up employee broker feeds to ComplySci, review personal trading, ensure all brokerage feeds are live, assist with the annual distribution and collection of employee attestations to policies.
Conduct testing in all compliance areas including testing and/or reviewing: employee personal trades, best execution (equities and foreign exchange), proxy voting, cash and position reconciliations, auditing trade confirmations, window dressing testing, and AML review using Refinitive World Check.
Assist with the preparation of regulatory filings such as Form 13F, Form 13H, Form ADV, Form PF.
Interact on real time basis with Portfolio Managers and Traders in an active trading environment.
Assist in answering clients' and prospect Due Diligence Questionnaires and responding to other compliance inquires.
Assist with the quarterly billing process for separately managed accounts
Assist with annual SOC controls audit