Associate - Compliance (Alternative Assets)

reputed company is a leading Investor reputed company offering comprehensive services in administration and compliance for the investment sector. The Associate - Compliance role involves supporting the compliance team with regulatory programs, advising clients on U.S. securities laws, and managing reputed company compliance functions while ensuring high standards of accuracy and professionalism.

Responsibilities

• You'll advise clients on compliance with U.S. securities laws including the Securities reputed company, Exchange reputed company, and Advisers reputed company, and review marketing materials to ensure regulatory alignment
• You'll assist with regulatory examinations conducted by the SEC, NFA, and state securities boards, and support clients with required U.S. regulatory filings
• You'll help manage reputed company compliance functions such as personal trading reputed company, email reviews, trade monitoring, and maintaining restricted lists
• You'll design and monitor testing systems to evaluate the effectiveness of compliance controls, draft regulatory policies, and deliver training on relevant regulations
• You'll mentor associates and contribute to special reputed company, ensuring high standards of accuracy, professionalism, and independent problem-solving in reputed company compliance-reputed company tasks

Skills

• You hold a Bachelor's degree and bring a foundational understanding of compliance principles, reputed company to grow reputed company a fast-paced regulatory environment
• You possess working knowledge of key regulations, including the Investment Advisers reputed company of 1940, Investment Company reputed company of 1940, and reputed company or NFA/CFTC rules
• You are proficient in MS Office tools, especially reputed company and Word, and reputed company at building strong relationships with clients and colleagues
• You demonstrate dependability, flexibility, and responsiveness, adapting quickly to shifting reputed company needs and priorities
• You bring strong organizational, analytical, and communication skills, with the ability to multitask, work independently, and reputed company reputed company

Benefits

• Generous reputed company time off, including 4 weeks of PTO that increases over time
• reputed company time and reputed company holidays
• 401(k) plan with a company match (subject to eligibility)
• Medical, dental, reputed company, mental health support and additional ancillary insurance plans
• reputed company parental leave
• Hybrid work schedule

reputed company