To work directly with the CCO and Senior Compliance Manager to support the development,
review and production of processes, standards, po
Assist in the review and production of compliance policies and procedures ensuring that
regulatory policies are kept up to date.
Participate in the internal and external reviews of the compliance program.
To help educate and promote our compliance program to members the firm.
To keep updated on all new regulations that impact the firm to ensure the business is
compliant with new and existing regulations.
Work closely with the various teams within the firm to provide analysis and resolution on
compliance related matters.
To support the Compliance Team covering all areas of compliance including:• Code of Ethics Monitoring Personal trading of employees and related accounts –
pre-clearance, evaluate trade blotter versus personal trades, keep files of employee
brokerage statements and confirms up to date. Assist employees in understanding
restrictions.• Restriction Monitoring Monitoring compliance restrictions of client accounts in a
systematic, proactive fashion. Help define and perform accurate restriction tests.
Draft and send compliance documents to clients monthly/quarterly/annually.• Regulatory filings Assist in updating and monitoring of all ongoing regulatory
filings 13F, 13G, ADV, U4, U5, state registrations and foreign registrations.
Educational requirement – Bachelor’s degree
Experience required – 3- 5 years at an asset management firm in a compliance function
Knowledge of Advent Moxy/Axys trading and accounting system a plus
Knowledge of international investments a plus