Our client, a prestigious registered investment advisor, is seeking a compliance associate. As a compliance associate you will complete compliance reviews as scheduled in the annual compliance review schedule, including operations, financing, business continuity, and regulatory filings. You will need to review and approve outgoing wire transfers and payments, prepare regulatory filings, assist in the preparation and completion of an annual compliance risk assessment, and be well versed in anti-money laundering testing and supervision.
• Bachelor’s degree and a solid academic background
• 3 to 5 years’ experience in investment adviser, broker dealer, or private fund compliance
• Series 65 preferred (additional regulatory licenses considered: Series 7, 24)
• Superior communication skills, highly motivated, and detail oriented
• Confident with technology and comfortable working through technical issues
• Desire to work in a team oriented, entrepreneurial environment