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    Compliance Associate - Charlotte, United States - Larson Maddox

    Larson Maddox
    Larson Maddox Charlotte, United States

    1 week ago

    Default job background
    Full time
    Description

    Key Duties & Responsibilities

    • Assisting in enforcing Code of Ethics, which involves monitoring personal trading accounts, issuing certifications, and managing conflicts-of-interest.
    • Maintaining and updating compliance policies and procedures, ensuring they're current and effective.
    • Assisting with SEC and NFA filings and regulatory examinations to ensure compliance with regulatory requirements.
    • Monitoring and auditing business processes to identify potential compliance risks and take appropriate actions to mitigate them.
    • Supporting the enforcement and testing of compliance program to maintain effectiveness.
    • Researching and analyzing applicable laws, regulations, and industry best practices to ensure ongoing compliance.
    • Staying informed about SEC and NFA regulations, including changes and developments such as those related to ESG investing.
    • Educating and training employees on regulatory requirements, updates, and nuances relevant to their roles.
    • Assisting in conducting initial and ongoing operational due diligence (ODD) reviews of underlying investments with external private fund managers.
    • Reviewing marketing materials for compliance with SEC "Marketing" or "Advertising" Rules of the Investment Advisers Act.
    • Collaborating with compliance consultants and legal counsel when necessary.
    • Providing support on projects related to new regulations and the continuous improvement of the compliance program.
    • Completing ad hoc projects and other tasks as needed to support the Compliance team.

    Required Skills & Abilities

    • Excellent attention to detail and organizational skills.
    • A continuous learning mindset to improve processes and stay ahead in a dynamic regulatory environment.
    • Strong verbal and written communication skills, with the ability to build effective connections within and across teams.
    • The ability to prioritize tasks quickly and work effectively under time constraints.
    • Sound judgment in decision-making.
    • Basic proficiency in the Microsoft Office suite.

    Qualifications

    • Bachelor's degree required.
    • 3+ years' experience with an investment adviser compliance team, regulator, or compliance consultant.
    • Familiarity with the SEC's Investment Advisers Act concerning private funds and a basic understanding of regulatory frameworks; NFA experience is advantageous.
    • Experience with private funds or registered fund operations is preferred.
    • Previous experience in compliance, external audit, internal audit, and/or operational due diligence is desirable.
    • Familiarity with alternative investment operations and controls is a plus.
    • An interest and/or understanding of complex investing concepts is preferred.
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