- Provide compliance guidance to employees on a day-to-day basis around policies, procedures, and protocols.
- Help maintain information barriers program, including but not limited to, restricted list maintenance, conflict reviews and approving expert networks.
- Review investor subscription agreements to comply with certain requirements.
- Assist in development and execution of testing procedures and compliance reviews.
- Propose or evaluate corrective measures to strengthen internal controls and other weaknesses identified in audits.
- Recommend any changes necessary to ensure proper controls and adherence to the program.
- Assist with SEC and other regulatory examinations, including documentation production and assembly.
- Coordinate and assistance in the completion of the annual compliance review, monthly, quarterly employee reporting and branch audits.
- Assist with the maintenance of the Regulatory Compliance Manual, including implementation of any changes thereto.
- Maintain accurate compliance logs and lists as required.
- Coordination and management for the Suspicious Activity Program
- Analyze new and pending laws and regulations to identify properly and expeditiously those which may impact the Firm's business and collaborate with the Compliance Manager and Chief Compliance Officer to revise the Firm's policies and procedures, as necessary.
- Review client deliverables for compliance with applicable laws and regulations.
- Review marketing for compliance with the SEC marketing rule.
- Respond to internal and external clients, including timely responses to emails.
- Outstanding organizational and time-management skills and ability to create effective processes.
- Attention to detail, strong analytical and problem-solving skills, and exceptional organization and project management skills.
- Perform other duties as assigned.
- Strong analytical skills and methodical troubleshooting.
- Strong customer service orientation; comfortable working independently with all levels of employees.
- Capacity to prioritize a variety of tasks and heavy volume of work.
- Ability to work independently as well as under the direction of several people at once.
- Excellent oral and written communications skills within a diverse office environment.
- Outstanding organizational and time-management skills and ability to create effective processes.
- Attention to detail, strong analytical and problem-solving skills, and exceptional organization and project management skills.
- 3 to 5 years of previous securities compliance, internal audit or risk experience preferred.
- Knowledge and experience with financial industry best practices in compliance management a plus.
- Bachelor's degree or equivalent professional experience in business, investments, legal, or a related field.
- Strong Microsoft Excel and PowerPoint skills.
- Collaborative fun environment
- 401(k) with company match
- Individual bonus
- Competitive company contribution to medical benefits
- Flexible work arrangements
- Continuing education assistance program
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Senior Associate - Cincinnati, United States - ASPIRIANT LLC
Description
Job Description
Job DescriptionAspiriant is a leading independent wealth management firm with offices spanning the US. We recognize and respect the value and contributions of each staff member to the overall success of our company and strive to cultivate a work environment that strikes an agreeable balance between our professional and personal lives.
Job Description
The Compliance Senior Associate has varied responsibilities within Aspiriant. This position provides the assistance to the Chief Compliance Officer in managing, documenting, administering, and updating the regulatory compliance programs. Success in the position will require exceptional organizational and administrative skills, as well as the ability to manage towards deadlines. Occasional travel and after-hours work may be required.
Specific Responsibilities
SEC & Regulatory Compliance
We want-
You have-
We offer –
We are-
ASPIRIANT IS A leading independent wealth management firm.
We recognize, respect and value the contributions of each employee, and we strive to cultivate a work environment that strikes an agreeable balance between our professional and personal lives.
Our core values guide us to seek out a broad range of perspectives, talent, and backgrounds to achieve our mission; one where all staff contribute to and share our success. Aspiriant is committed to diversity, and as an equal opportunity employer, we are committed to employment practices that ensure that employees and applicants for employment are provided with equal opportunities without regard to race, color, national origin, ancestry, sex, age, religion, physical or mental disability, medical condition, veteran status, marital status, pregnancy, sexual orientation, gender identity, genetic information or any other factor that is not related to the position.
To Apply
Go to , select 'careers' link in the footer, and search for open positions in Cincinnati. From there attach a cover letter and resume for consideration. We look forward to hearing from you
Aspiriant is an Equal Opportunity Employer and follows the guidelines for any applicable Fair Chance Ordinances.
Aspiriant is a Registered Investment Adviser, subject to SEC regulation, and requires all employees (and at times, family members) to disclose securities holding and transactions. There are also restrictions on trading certain securities. Candidates are encouraged to request further information regarding these policies.
