As an Associate Compliance you will become an integral member of our firm’s compliance team and will help to ensure that we comply with relevant regulations, requirements, and policies. You will be engaged in regular tasks such as conducting testing and e-surveillance, preparing regulatory filings, and ensuring that all client accounts adhere to stated objectives and guidelines. You will also assist in various projects on a quarterly or annual frequency such as preparing quarterly management reporting and auditing our controls in conjunction with our annual review. In this entry level position you will be working most closely with a team of four colleagues but you will also frequently collaborate with individuals from departments across the firm.
About the successful candidate:
To excel in this role:
- You are detail-oriented and are committed to accuracy and excellence while maintaining efficiency. You have an aptitude for integrating and analyzing various sets of information, while appreciating the nuances and ambiguities that are present in some situations.
- You are organized, adaptable, and thrive in a fast-paced environment. You are capable of tracking multiple tasks and projects in varying stages of their lifecycle to ensure that progress continues to be made.
- You are a team player who is capable of working independently. You are comfortable taking something, running with it, and knowing how and when to ask questions to maintain and guide your progress.
- You have excellent verbal and written communication skills. You naturally look to build relationships and leverage those relationships to help deliver excellent results.
A Bachelor’s Degree, along with proficiency in Microsoft Office, is required. We welcome all interested recent and soon-to-be graduates to apply, regardless of academic major or course of study.