Sr. Associate, Compliance
Future Standard · Darien, CT · 2 mo ago
On-siteFinanceFull-time
About the role
This role offers a high degree of visibility and opportunity for advancement within the Compliance team in Darien, CT.
Responsibilities
- Assist in supervising and analyzing the firm’s compliance program and advocating for a strong culture of compliance with all employees
- Maintain the firm’s Compliance Manual and perform annual compliance assessments
- Monitor employees’ compliance with the firm’s Code of Ethics, including personal trading policies
- Aid in regulatory filings, such as Form PF, 13F, 13H, 13G, and ADV
- Ensure compliance in regulatory matters throughout business development and investor relations processes
- Maintain up-to-date knowledge of industry best practices to further develop effective compliance policies and procedures
- Review contracts, NDAs, and vendor agreements
- Monitor cybersecurity of the firm, including penetration/vulnerability testing, disaster recovery testing, and mock-phishing exercises
- Coordinate firm-wide compliance training, sexual harassment training, and cybersecurity training
Requirements
- At least 4 years of experience working at an SEC-registered investment advisor and/or a compliance advisory firm
- Proactive, self-starter with strong verbal and written communication skills
- Ability to write policies and prepare footnote/compliance disclosures
- Comfortable wearing several hats and juggling diverse requests
- Ability to handle pressures and deadlines in a high-growth, fast-paced, and demanding environment
- Knowledge of MNPI rules and expert network monitoring is strongly preferred
- Knowledge of SEC private fund requirements
- Bachelor’s degree required
- Exceptional written and verbal communication skills
- Proficiency in Microsoft 365 — Word, Excel, and PowerPoint
- Strong analytical, strategic, and problem-solving skills
- Impeccable attention to detail
- Ability to work under time pressure
- Ability to interface with multiple systems to acquire needed information
- Confidence to interact with all levels of management, both internally and externally