A global investment management firm is seeking a Compliance Associate to join the compliance team and work with the Chief Compliance Officer on the day-to-day compliance program. The role will be a generalist, getting exposure to multiple parts of the compliance program, such as Code of Ethics, marketing review, surveillance, and regulatory filings. An ideal candidate will have experience dealing with regulators and helping to interpret regulations into relevant policies and procedures. Additionally, the ability to manage projects and maintain a detail-oriented approach to relevant filings and reports is key.
Requirements:
- 2+ years of experience in a compliance function on buyside/sellside
- Knowledge of relevant SEC, FINRA, CFTC, NFA rules
- Experience with compliance software and technology to manage data
- Ability to handle employee and firm data confidentially
