Assist with compliance oversight of our proprietary mutual funds, registered investment advisers and limited purpose broker-dealer.
Will conduct hands-on compliance under the guidance of more senior members of the Compliance team.
Should either have the appropriate FINRA licenses, or be amenable to obtaining licenses soon after beginning employment.
Major Responsibilities/Activities: •Register FINRA registered associated persons, including filing of Forms U4 & U5 and coordinate continuing education activities •
Facilitate onboarding process for new employees, including maintaining and reviewing new hire paperwork and conducting orientation
•Facilitate and participate in compliance training for new and current employees
•Monitor employee personal trading activities, resolve exceptions and maintain satisfactory records
•Assist in the preparation of regulatory filings such as SEC Forms ADV, 13G,13F and CFTC/NFA Forms PQR and PR
•Assist with monthly/quarterly and ad hoc client reporting and client questionnaires
•Review electronic communications, including emails and instant messages for any violations of internal policies and procedures
•Conduct vendor/service provider oversight and due diligence reviews
•Assist with internal and external audit requests and regulatory reviews
•Perform anti-money laundering functions related to the registered U.S. funds and private placements
•Perform checks against the OFAC list for all business counterparties Minimum Requirements:
•Two to four years of compliance experience, preferably at an investment advisor or broker-dealer firm.
•Series 7 preferred, or willingness to obtain within 6 months of hire
•Ability to manage priorities and handle multiple projects simultaneously
•Excellent oral and written communications skills
•High attention to detail, including the ability to maintain orderly documentation and track issues/recommendations
•Superior organizational skills and ability to meet deadlines •General understanding of regulatory/self-regulatory agencies (SEC, FINRA, CFTC) and the requirements of the Investment Advisers Act of 1940 and the Investment Company Act of 1940
•Proficient in Microsoft Office; experience with WebCRD, Protegent (PTA) and Global Relay is a plus