A leading Asset Management firm is looking for a Compliance Associate to join their team! The Compliance Associate will assist in administering Code of Ethics and implementing policies and procedures. The onsite requirement for this role is 4 days / week in office.
Responsibilities:
- Monitor Code of Ethics
- Conduct employee trade reviews
- Ensure Firm's compliance with Investment Advisers Act of 1940
- Assist in regulatory examinations
- Support with regulatory filings
Requirements:
- 4-6 YOE at an RIA firm
- JD (preferred)
- Must be able to commute into office 4 days / week
- Bachelor's Degree
