Compliance Associate
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The role
Support and enforce a broad range of compliance policies related to SEC rules for RIAs and investment companies.
Review marketing disclosures and advertising materials for regulatory compliance, including model performance disclosures.
Assist with DDQs, RFPs, compliance checklists, and updates to the compliance manual.
Monitor books-and-records, support risk assessments, vendor reviews, and responses to regulatory inquiries and internal audits.
Collaborate with senior management across Marketing, Sales, Investments, Operations, and IT on operational projects; manage multiple priorities with strong project management.
Utilize Excel and MS Office to analyze risk, maintain documentation, and ensure accurate records, with a proactive, detail-oriented mindset.
Review marketing disclosures and advertising materials for regulatory compliance, including model performance disclosures.
Assist with DDQs, RFPs, compliance checklists, and updates to the compliance manual.
Monitor books-and-records, support risk assessments, vendor reviews, and responses to regulatory inquiries and internal audits.
Collaborate with senior management across Marketing, Sales, Investments, Operations, and IT on operational projects; manage multiple priorities with strong project management.
Utilize Excel and MS Office to analyze risk, maintain documentation, and ensure accurate records, with a proactive, detail-oriented mindset.
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