Compliance Associate - Funds

Job Summary

A company is looking for a Compliance Associate - Funds.

Key Responsibilities

• Assist in monitoring compliance policies and procedures for registered mutual funds
• Support the administration of the Code of Ethics program and perform due diligence on external money managers
• Prepare compliance reports and assist with regulatory inquiries and examinations

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
• Technical knowledge of third-party diligence and monitoring tools preferred