A bank in New York City is actively seeking a dynamic and driven professional to join their staff as a Compliance Associate. In this role, the Compliance Associate will conduct reviews under the group's annual review program pursuant to Rule 206(4)-7 of the Advisers Act, which includes conducting reviews of the group's policies and procedures as included in the Compliance Manual. Responsibilities The Compliance Associate will:
- Conduct general compliance reviews for the bank, including but not limited to: marketing reviews, personal securities transaction reviews, NAV reconciliation reviews, ERISA monitoring, investment restriction reviews
- Prepare regulatory filings
- Prepare Compliance Board Reports
- Complete compliance reports for clients as and when requested.
- Handle special projects and/or other duties as assigned by CCO and Management
- Monitor employee trading to safeguard the firm and to prevent employees from trading on, or the appearance of trading on, material non-public information and liaise with all employees relating to their personal trades
Qualifications
- Bachelor's Degree or Equivalent
- 2+ years of compliance experience
- High level of self-motivation
- Strong interpersonal skills
- Proven contract drafting and negotiation skills
- Excellent communication skills
- Ability to multitask
- Strong attention to detail
Desired skills
- Experience in the alternative investment funds area