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Compliance Associate

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Access Staffing

2021-12-03 07:34:07

Job location Stamford, Connecticut, United States

Job type: fulltime

Job industry: Banking & Financial Services

Job description

Compliance Associate with 2-5 years' experience


Alternative Investment Advisor located in Stamford CT managing $4.8B in assets is looking for a

compliance associate to join their team and report to the General Counsel/Chief Compliance Officer.

This firm has been in business since 2001 and has 36 employees.

Responsibilities include:

Assist in review and implementation of compliance policies and procedures.

Review of marketing materials for compliance with SEC marketing rules.

Prior experience with filings applicable to RIAs, CTAs and CPOs such as:

Form ADV

Form PF

Form 13-F

Section 13 Filings

Form PQR

Form D

Other projects as necessary


Requirements:

Bachelors degree, no legal degree required

2-5 years of Compliance Experience preferably at an investment company

Knowledge of the Investment Advisor Act 1940

Knowledge of SEC, NFA, CFTC requirements preferred

Proficiency in MS Office Word, Excel and PowerPoint


Salary:

Dependent on Experience

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