Senior Compliance Associate

A company is looking for a Senior Compliance Associate to assist with compliance programs in Funds and Investments Compliance.

Key Responsibilities

Monitor and update compliance policies and procedures for registered mutual funds and their investment adviser

Administer the Code of Ethics program and perform due diligence on external money managers' compliance programs

Draft compliance reports, monitor regulatory changes, and support responses to regulatory inquiries

Required Qualifications

Bachelor's degree required; JD or MBA preferred

5+ years of experience in investment management or financial services

Experience in compliance program administration preferred

Technical knowledge of compliance tools and understanding of securities laws preferred

Strong project management and organizational skills