A booming asset management firm is looking to hire a Compliance Officer at their Kansas City office. In this position, you will be in a fast paced, collaborative environment playing a crucial role for the development of the Compliance department. This role sits on-site and reports directly into the CCO.
- Support in overseeing the compliance program and adherence to the compliance calendar
- Continuously monitor the firm's code of ethics, encompassing personal trading, gifts & entertainment, and political contributions policies
- Contribute to various compliance program activities, such as presentations, onboarding for new hires, ongoing compliance training, implementation of new rules/regulations, and supporting new initiatives
- Conduct forensic testing, including reviews of electronic communications, best execution, and portfolio assessments
- Aid in the completion of regulatory reporting, including Form ADV and Form PF
- Scrutinize advertising materials to ensure compliance with SEC and FINRA advertising rules, as well as the firm's advertising policies and procedures
- Contribute to enhancing the compliance program for the investment adviser and funds, involving assessment of new regulations, drafting/implementing policies, addressing gaps, and devising solutions in response to regulatory developments and business growth
- Review the firm's portfolio investment guidelines to ensure alignment with account-level investment policies and relevant fund documents
- Assist in the annual compliance review and risk assessment for the firm
- Provide support during regulatory examinations and in preparing compliance reports for the board of directors of the firm's funds and executive management
- Bachelor's degree required; MBA, J.D. or professional designation (e.g. CFA) highly preferred
- 2 to 5 years of experience; preferably in asset management
Please apply in if you are interested in this role!