Compliance Associate

Job Summary

A company is looking for a 40 Act Compliance Associate to assist with compliance programs for registered mutual funds and investment advisers.

Key Responsibilities

• Monitor and update compliance policies and procedures for mutual funds and investment advisers
• Administer the Code of Ethics program and perform due diligence on external money managers
• Prepare compliance reports and assist with regulatory inquiries and contract renewals

Required Qualifications

• Bachelor's degree preferred
• 3+ years of experience in investment management or financial services
• Experience in compliance program administration preferred
• Knowledge of securities laws and different asset classes preferred
• Strong project management and organizational skills