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Our compliance associates assist with the organization, administration and enforcement of the company’s compliance program. Responsibilities include: monitoring, updating, and enforcing compliance policies and procedures (i.e., the Compliance Manual, Form ADV, investor files, brokerage arrangements and other government filings); testing and documenting compliance policies
We are looking for someone with at least 1-4 years of experience as a compliance professional at a mid- or large-sized investment advisory firm which is registered with the SEC and has successfully been through SEC audit(s); a solid understanding of the contents, requirements and operations of the Investment Advisers Act of 1940, the Investment Company Act of 1940 and the Securities Act of 1933; outstanding organizational and communication skills; comfort with and an understanding of how to interact with government officials; and an undergraduate degree from a top university. Prior enforcement experience at the SEC or other SRO experience (NASD, NYSE) is preferred.
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