Compliance Associate

About the role

The Compliance Associate will support Lord Abbett’s Control Room covering core investment and employee-related compliance functions, including personal trading, Code of Ethics administration, control room activities, and information barrier oversight. This role works closely with members of the Global Compliance team to help ensure compliance with regulatory requirements, firm policies, and fiduciary obligations, while supporting both traditional and alternative investment businesses.

Responsibilities

• Serve as a day-to-day Compliance contact for employee personal trading and Code of Ethics–related matters.
• Pre-clear employee personal trades and conduct post-trade surveillance to identify potential violations.
• Perform daily data validation related to personal trading and restricted securities.
• Address, escalate, and help remediate violations or potential violations of the Personal Trading Policy and Code of Ethics.
• Absorb and help maintain the firm’s Restricted and Watch Lists.
• Conduct initial transaction conflict checks to identify potential conflicts of interest across the firm’s traditional and alternative investment activities.
• Support the firm’s Control Room function, including monitoring and chaperoning of communications (electronic, voice, and in-person) in accordance with firm policies.
• Aid in the administration of quarterly and annual employee certifications.
• Review and respond to employee requests related to outside business activities, political contributions, and gifts and entertainment.
• Initiate and manage Rule 3210 correspondence and coordinate with applicable broker-dealers to establish and maintain electronic data feeds for employee trading activity.
• Aid in the preparation of regulatory filings and responses to regulatory inquiries.
• Support compliance-related training for new hires and business partners, including training related to alternative products and information barriers.
• Contribute to the review and enhancement of compliance policies and procedures, particularly those related to personal trading, conflicts of interest, and confidential information.
• Assist with user acceptance testing for compliance system implementations and upgrades.
• Support regulatory change management efforts impacting investment and employee compliance matters.
• Execute ad hoc compliance projects and assist with other day-to-day investment compliance activities, as needed.

Requirements

• A Bachelor’s degree in finance, business, or a related field.
• Two to five years of experience in financial services compliance; experience with personal trading, Code of Ethics, Control Room, or investment-related compliance is a plus.
• Strong attention to detail and the ability to manage multiple priorities effectively.
• The ability to handle sensitive information with discretion and sound judgment.
• Excellent written and verbal communication skills.
• Proficiency in Microsoft Excel and other relevant software or compliance systems.
• A collaborative mindset and the ability to work effectively with compliance colleagues and business partners across multiple functions.

Qualifications

• None specified

Skills

• Attention to detail
• Communication skills
• Data validation
• Discretion and judgment
• Handling sensitive information
• Information barrier oversight
• Investment compliance
• Microsoft Excel proficiency
• Personal trading
• Post-trade surveillance
• Pre-clearing
• Regulatory compliance
• Rule 3210 correspondence
• Software proficiency
• Training
• User acceptance testing
• Work with compliance colleagues

Benefits

• Competitive total compensation
• Retirement plans
• Competitive health and well-being plans

Pay

Annual base salary for this role is $100,000 - $120,000. Salary is estimated for this role. Actual pay may be different.

Schedule

N/A