Compliance Associate

Responsibilities• Advising clients on compliance matters, including oversight of personal trading, email review, monitoring of firm trading activity, and maintaining restricted lists• Preparation and filing of required regulatory filings including Form ADV and Form 13's• Manage client registration with applicable regulators including SEC and CFTC• Assist with regulatory examinations of client compliance programs conducted by regulatory authorities including SEC, NFA, and state regulator• Ensure that compliance violation items are properly investigated, documented, and action completed, as per client policies and procedures• Analysis of regulatory environment updates and consideration of application for clients• Review and advise on clients marketing and advertising materials in line with the Advisers Act and other applicable regulatory requirements• Present/participate in compliance training for clients and their employees annually• Review of documents and data enabling analysis, critical and technical thinking, for appropriate well thought out decisions• Eye for quality and accuracy of work product• High-level first-class communication with regulators, industry contacts, clients and CFO team.• Considerable use of tact, diplomacy, confidentiality, discretion, and judgement.