Core Compliance Associate

Full Time




In this role, the Specialist will take part in administering and enhancing the firm’s Core Compliance program, including promoting the culture of compliance throughout the organization.

The Core Compliance team is responsible for the main aspects of the firm’s employee facing compliance program. Each member of the team is responsible for administration of assigned policies and procedures, some of which include:

  • Code of Ethics (Personal Trading)
  • Outside Activities;
  • Gifts & Entertainment;
  • Political contributions;
  • Social media; and
  • Electronic communications.

Job Responsibilities:

  • Assisting with the development of policies and procedures, controls, trainings and technological solutions associated with the Core Compliance program;
  • Assisting with the implementation of solutions to business/area problems;
  • Monitoring industry-wide compliance initiatives as well as important federal, state, and non-U.S. regulatory developments and conduct analyses as to how such developments impact company
  • Liaising with business partners, the Legal & Regulatory Department and outside service providers to identify and mitigate compliance risks;
  • Analyzing the effect of new business initiatives and investment products on the compliance program;
  • Fielding inquiries from employees and management on compliance matters; and
  • Conducting forensic tests in several key Core Compliance areas.

Job Qualifications:

  • Bachelor’s degree from a top university;
  • 2-4 years’ of relevant compliance experience at an SEC registered investment adviser and/or experience at a relevant regulatory agency (e.g., SEC, CFTC, NFA, or FINRA);
  • A strong understanding of the US securities laws, including the Investment Advisers Act of 1940, the Investment Company Act of 1940, and the Securities Act of 1933;
  • A solid understanding of regulatory/self-regulatory agencies (e.g., SEC, CFTC, NFA);
  • Ability to quickly master unfamiliar and complex concepts and distill them into concise and comprehensive solutions and guidance;
  • Strong judgement, integrity, and professional demeanor that instills confidence in others
  • Ability to make pragmatic decisions and recommendations to business constituents and firm management;
  • Exhibit poise and solid judgement when interfacing with senior personnel;
  • Strong written and oral communication skills;
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