Associate Compliance Officer

Company Core Values:

• Excellence: Demonstrates a commitment to continuous improvement, innovation, and achieving the highest possible standards for performance.
• Results: Consistently going above and beyond to deliver exceptional results and value for the team and the organization.
• Ethics/Integrity: Demonstrates a commitment to integrity, peer respect, and fairness. Continuously demonstrates a strong work ethic by exhibiting an indisputable drive to get the job done.
• Teamwork: Demonstrates a commitment to collaboration, mutual respect, and shared responsibility in achieving common goals. 

Duties & Responsibilities of the Associate Compliance Officer:

The Associate Compliance Officer supports the Compliance Department in its oversight of each firm’s corporate compliance program.

Specifically, the Associate Compliance Officer is primarily responsible for:

• Day-to-day administration of pre-clearances under the firm’s Code of Ethics.
• Day-to-day administration of the firm’s investment guidelines monitoring systems.
• Performance of periodic and ad hoc testing.
• Implementing and monitoring policies and procedures for each firm’s compliance with securities and fiduciary laws and regulations. This includes conducting follow-up with the other staff to ensure compliance with the firm’s policies and participating in the daily administration of compliance throughout the firm.  These duties also include day-to-day monitoring activities for each firm’s equity, fixed income, and real estate investment management functions as well as oversight of various trust services, anti-money laundering procedures, privacy and cybersecurity monitoring, and ERISA compliance.
• Assisting in the delivery of responses to regulatory exams and external and internal audits.
• Assisting in the annual compliance program review for each firm.
• Assisting with regulatory filings for each firm.
• Assisting with the facilitation of continuing education, a requirement to be fulfilled by the individual investment adviser representatives of each firm.
• Assisting with the production of meeting materials and reporting to various Committees of each firm.
• Monitoring and, as necessary, coordinating compliance activities of various departments to remain abreast of compliance matters and identify trends.
• Identifying potential areas of compliance vulnerability and risk.
• Serving as backup for cash and security guideline administration in the trade order management system.

Job Requirements (Skills / Abilities) / Experience / Education / Licenses / Certifications of the Associate Compliance Officer:

• 1-3 three years of work experience where the required skills were employed.
• Familiarity with MS Outlook, Word, and Excel.
• Familiarity with either Charles River Development or Bloomberg Compliance Manager is a plus.
• BA or BS degree required degree required, focusing on Accounting, Finance, or Business.
 
• Expected to complete relevant industry training.
• Excellent interpersonal skills
• Good analytical skills and judgment
• Strong oral and written communication skills
• Strong personal computer and troubleshooting skills
• Detail oriented with excellent organizational skills
• Exceptional time management skills; able to prioritize multiple demands/projects and meet deadlines
• Self-motivated
• Able to learn at a fast pace