Overview

Summary of Responsibilities:

The position is based within the large and successful Asset Management division. The asset management division allocates money to well known and highly reputable third party money managers. The Compliance associate will be responsible for conducting reviews, oversight, surveillance, and due diligence exams of these outside money managers that invest on behalf of the firm to ensure that they are adhering to all industry Compliance rules and regulations.

Our client, a highly well known financial services and asset management firm is seeking a Examinations and Due Diligence Compliance and Asset Management. The ideal candidate will participate in the day-to-day administration of the companies Funds and Investment Adviser compliance programs through the maintenance of an inventory of regulations, the oversight of compliance controls, and performance of ongoing monitoring and testing of controls designed to ensure compliance with the relevant regulations. In addition, the associate will be responsible for developing and implementing policies and procedures covering a variety of compliance issues for areas of business applicability.
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Principal Responsibilities:
• Prepare for, participate in, analyze, and document the firms Funds subadviser and service provider onsite due diligence meetings.
• Participate in construction of required periodic Funds Board reports, including quarterly and annual compliance reports and the Section 15(c) annual subadviser contract renewal analysis.
• Perform trend analysis on the companies Funds subadvisory compliance reporting.
• Consult with senior management to define policy or establish compliance standards and best practices for the lines of business; building critical relationships with internal clients, and documenting policies and procedures for implementation by the business.
• Communicate compliance initiatives, issues, and objectives, and ensure that Compliance works to simplify requirements, where possible.
• Perform other related duties as assigned or required.
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Knowledge/Skills/Competencies Required:
(Include education and years experience.)
• Bachelor’s Degree required.
• 3-5 years of experience in investment advisory or investment management compliance with hands-on experience with drafting/monitoring/and testing compliance policies and procedures.
• Demonstrated knowledge of the Investment Company Act of 1940 and/or Investment Advisers Act of 1940.
• Experience evaluating third-party money managers and/or service providers.
• Microsoft Office applications.
• Excellent written, oral, organizational, analytical, and presentation skills.
• Able to work on multiple projects simultaneously.
• Able to work both independently and collaboratively.
• Able to travel several days per month.

Please send resumes to Jack Kelly – JKelly@ComplianceSearch.com

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