Responsibilities:
- Monitor compliance with and assist in the administration of existing policies and procedures, including Code of Ethics/employee personal trading and advertising review.
- Address, resolve and document identified compliance issues in consultation with the Chief Compliance Officer (CCO) where appropriate.
- Assist in testing/audit of functionality of compliance systems and procedures.
- Work with the compliance and operations teams to identify areas of program improvement and problem resolution.
- Prepare and conduct in-person employee training on various compliance policies and procedures.
- Establish strong working relationships with members of investment, operations and client services teams.
- Provide support to the CCO.
Qualifications:
- 3-5 years of total relevant work experience
- BA or equivalent combination of education and experience
- Working knowledge of Investment Advisers Act of 1940
- Advertising review experience
Benefits:
- Performance bonus
- Generous benefits package
