• Perform and assist in ongoing compliance testing in all compliance areas, including inside information and safeguarding of material non-public information, code of ethics, code of conduct, conflicts of interest, marketing and advertising
• Conduct electronic surveillance and review supporting documentation to prepare detailed testing workpapers that substantiate findings and outcomes
• Identify compliance risks and control deficiencies, recommend corrective actions and enhancements based on test results
• Collaborate with Compliance professionals and other internal constituents in execution of testing of Compliance policies
•Bachelor’s degree preferred
•1 to 3 years of compliance and/or paralegal experience within the financial services industry
•Proficiency with Microsoft Office (Excel, Word, Teams, PowerPoint)
• Energetic, initiative-taking, coachable, detailed oriented and organized;
• Ability to work in a fast-paced environment, overseeing multiple testing areas, demonstrating effective time/task management, and meeting deadlines
• Solid written, verbal and interpersonal skills;
• Strong analytical and critical thinking skills;
• Creative, entrepreneurial, able to work in teams under high pressure and contribute to a collaborative environment;
• Resilient with ability to adapt to changing business priorities and emerging technologies;
• Invested in own personal development;
• Consistently pursues client experience excellence; and,
• Familiarity with Compliance platforms such as StarCompliance, ComplianceAlpha or Global Relay is an added advantage.
• Knowledge of the investment management and private fund industry, regulatory and compliance environment
• Strong organizational skills, attention to detail, knowledge and ability to direct client teams, and ensure delivery of quality work product.
• Ability to proactively establish, track, and achieve goals, projects, and tasks needed to ensure success.
Reporting Relationships
Senior Associate, Investment Adviser Compliance
