Compliance Associate
Manhattan, NY, United States
Job Description
Our client is seeking an experience Compliance Associate to join their Legal & Compliance department located in Manhattan, New York.
Responsibilities:
- Assist with the preparation, maintenance, and submission of all regulatory filings such as Form ADV, Form PF, CPO-PQR, CTA-PR, FORM D, 13F.
- Provide support to multiple business lines such as marketing, operational, and accounting teams for new business initiatives.
- Perform ongoing monitoring of personal trading, G&E Activities, outside business activities, and other Code of Ethics policies and procedures.
- Assist with Regulatory Examinations and all compliance legal related issues.
- Assist with annual compliance reviews, including forensic testing, and management.
- Assist with DDQs and other marketing documents and deliverable.
- Assist with Compliance Ad-hoc projects.
Opportunity to join a dynamic compliance department|Client will move quickly with qualified candidates
Qualifications:
- Bachelor\'s Degree, further education is a plus.
- Minimum of 1-3 years of Compliance Experience at Registered Investment Adviser or Investment Consulting Firm
- Knowledge of the Investment Advisers Act of 1940, The Investment Company Act of 1940, The Commodity Exchange Act, SEC & CFTC/NFA regulations
Our client offers:
- Competitive Base Salary
- Comprehensive Benefits Package
- Hybrid Working Model
- Great Team Culture
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Job Detail
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Job IdJD4348808
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IndustryNot mentioned
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Total Positions1
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Job Type:Full Time
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Salary:$90000 per year
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Employment StatusPermanent
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Job LocationManhattan, NY, United States
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EducationNot mentioned