Compliance Assistant - Alternative Investment Firm
Responsibilities will include:
- Support daily ongoing compliance testing and monitoring and updating of calendar deadlines.
- Assist with compliance periodic testing such as political contributions, gifts and entertainment, research practices, and social media searches.
- Assisting in managing and administering the firm's Code of Ethics program, including but not limited to reviewing personal trading activity.
- Performing investor KYC reviews and AML screenings (including coordination with fund administrators) for new and existing investors, in addition to assisting with counterparty deal KYC.
- Assist legal with counterparty and investor due diligence questionnaires and incoming KYC refresh requests.
- Assisting with drafting and maintaining memos, committee agendas, and meeting minutes.
- Assist in carrying out the firm's annual compliance review.
- Assisting with the preparation of regulatory filings (including Form D and Blue Sky reporting).
- Supporting review of marketing materials pursuant to SEC and other applicable regulations.
- Assist in ongoing compliance training of existing employees and new hire onboarding procedures.
- Partnering with other departments at the firm to ensure continual improvement of compliance monitoring systems, processes, and oversight.
- Maintaining books and records and filing documentation according to firm standards.
- Other special projects as assigned by the legal & compliance team as well as ad hoc administrative needs.
Skills and Experience:
- Bachelor's degree required.
- Minimum 2 years of work experience in a compliance role, ideally at a hedge fund, Registered Investment Advisor or other type of regulated financial institution.
- Highly proficient with Microsoft Word, Excel, and PowerPoint required.
- Familiarity with using Compliance Management Software.
- Foundational knowledge of trade compliance and personal trading monitoring.
- Excellent verbal and written communication skills, highly organized and very detail-oriented individual.
- Positive, proactive attitude towards any task, big or small, and willingness to evolve the role based on the needs of the firm.
FAQs
Congratulations, we understand that taking the time to apply is a big step. When you apply, your details go directly to the consultant who is sourcing talent. Due to demand, we may not get back to all applicants that have applied. However, we always keep your resume and details on file so when we see similar roles or see skillsets that drive growth in organizations, we will always reach out to discuss opportunities.
Yes. Even if this role isn’t a perfect match, applying allows us to understand your expertise and ambitions, ensuring you're on our radar for the right opportunity when it arises.
We also work in several ways, firstly we advertise our roles available on our site, however, often due to confidentiality we may not post all. We also work with clients who are more focused on skills and understanding what is required to future-proof their business.
That's why we recommend registering your resume so you can be considered for roles that have yet to be created.
Yes, we help with resume and interview preparation. From customized support on how to optimize your resume to interview preparation and compensation negotiations, we advocate for you throughout your next career move.