Location: Fairfield County, CT
Compensation: $100k-$150k base + bonus
Responsibilities:
- Facilitating the timely completion of regulatory filings such as ADV, Form D, 13F/G/H, Form PF, etc.
- Management of annual mock SEC exam and recurring external/internal electronic communications reviews
- Management and facilitation of annual compliance training and new employee compliance onboarding and training
- Annual update of the Compliance Manual and other related policies
- Supporting the firm's Code of Ethics and ensuring compliance with regulatory requirements including new hire and ongoing certifications, and personal trading and political contributions, gifts & entertainment, and outside business activities preclearance and tracking using the firm's Compliance platform and related broker feeds/attestations
- Management of Expert network screening/approval and call chaperoning (where required)
- Conducting research on regulatory practices and changes impacting the investment management industry
- Tracking and management of compliance processes such as best execution, proxy voting, outside business activities, conflicts of interest, restricted list, NDA tracker counterparty risk, ESG reporting, marketing material review, and maintenance of compliance breach logs
- Monitoring of Data rooms
- Preparing Valuation committee minutes and quarterly valuation packs
- Reviewing updates to DDQ, and assisting with Investor DDQs and ODDs
- Business Continuity/Disaster Recovery testing formulation and tracking in conjunction with IT
- Managing annual vendor due diligence
Qualifications
- Bachelor's degree, with a concentration in Business, Accounting, Finance, or other related discipline; JD or LLM/MLS in corporate compliance is preferred
- Five+ years of relevant work experience with a financial institution such as a broker/dealer, registered investment adviser, regulatory agency, or other financial institution
- Prior experience with the Investment Advisers Act of 1940
- Strong written and verbal communication skills, including the ability to adapt your style depending on the audience and subject matter
- Excellent project and time management skills with the ability to handle multiple priorities, meet deadlines and develop process efficiencies where required
- A quick learner with a strong work ethic
- Strong Excel skills