Compliance Associate

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The Compliance Associate will play a key role in supporting the Firm’s compliance program across its affiliated entities to help ensure compliance with applicable regulations, firm policies, and client obligations. This role focuses on the day-to-day administration of core compliance functions, including code of ethics oversight, regulatory filings, policy administration, and examination readiness, while helping identify and mitigate compliance and conflicts-of-interest risk. The Associate will assist the Chief Compliance Officer and team with oversight of the Firm’s compliance program and collaborate closely with investments, operations, legal, marketing, and finance teams to strengthen and evolve the Firm’s compliance infrastructure.
This position requires strong analytical capabilities, familiarity with regulatory framework governing registered investment advisers, and a proactive approach to identifying compliance risks in a fast-paced environment. The following duties are generally representative of the nature and level of work assigned and are not necessarily all inclusive.
Primary Responsibilities         
Support the day-to-day administration of the Firm’s compliance program, including monitor for potential violations of regulatory obligations and internal policies.
Assist with the review and administration of the Code of Ethics, including personal trading, outside business activities, gifts and entertainment, and political contributions.
Monitor and review electronic communications and correspondence for compliance with firm policies and applicable regulatory requirements.
Support the preparation, filing, and maintenance of regulatory filings (e.g., Form ADV, Form PF, Form CRS, and state notice filings).
Draft, update, and maintain compliance policies, p

合规助理将在支持公司合规计划方面发挥关键作用，覆盖其关联实体，帮助确保遵守适用法规、公司政策和客户义务。该职位侧重于核心合规职能的日常管理，包括道德准则监督、监管申报、政策管理和检查准备工作，同时帮助识别和缓释合规及利益冲突风险。该助理将协助首席合规官及团队监督公司的合规计划，并与投资、运营、法务、市场营销和财务团队紧密合作，以加强和优化公司的合规基础设施。
该职位要求具备较强的分析能力、熟悉适用于注册投资顾问的监管框架，并能在快节奏环境中主动识别合规风险。以下职责大致代表所分配工作的性质和层级，并非详尽无遗。
主要职责
支持公司合规计划的日常管理，包括监控潜在的违反监管义务和内部政策的行为。
协助道德准则的审查和管理，包括个人交易、外部商业活动、礼品和娱乐以及政治捐款。
监控和审查电子通信和往来函件，以确保符合公司政策和适用监管要求。
支持监管申报文件的准备、提交和维护（例如Form ADV、Form PF、Form CRS和州通知申报）。
起草、更新和维护合规政策、p

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