Compliance Associate / VP

Full Time

Madison-Davis

EXTERNAL CLIENT ROLE

Overview

The Compliance Associate/VP will be responsible for implementing the firm’s Global Code of Conduct and compliance policies related to the firm’s FINRA registered Broker Dealer and SEC registered investment advisor. This individual will assist with updating compliance policies, filing reports and responding to regulatory inquiries and exams involving the BD and the RIA. The Compliance Associate/VP will also be asked to help manage and report on the firm’s Global Code of Conduct which includes policies on personal trading, private investments, gifts and entertainment and political contributions.

Job Responsibilities:

• Administer the firm’s Global Code of Ethics which includes policies on personal trading, private investments, gifts and entertainment and political contributions.
• Update and manage firm policies and procedures across multiple business lines
• Respond to regulatory inquiries and subpoenas and file reports with government agencies when necessary
• Review marketing material for the Asset Manager
• Provide support for regulatory filings such as the 13F and ADV.

Job Qualifications:

• 2-5 years of experience at an SEC registered investment advisor
• Highly organized and able to manage multiple deliverables
• Interest and/or knowledge of the regulatory treatment of digital assets
• Ability to work with various business units to create tailored compliance solutions
• Bachelor’s Degree

Preferred Qualifications
• JD a plus but not required
• Ability to apply SEC and CFTC regulation to Digital Assets

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