Compliance Associate
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职位描述
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
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