- Assist in mutual fund and other advertising and sales material review to FINRA standards for a family of 19 mutual funds
- Assist with all aspects of a compliance program for investment advisory firm and limited purpose broker dealer
- Assist with supervision of registered representatives
- Assist with administration of GIPS compliance in relation to Separately Managed Account business
- Assist in the design and testing of compliance controls across investment, sales, client service and operational areas of the firm
- Assist in Code of Ethics compliance, including quarterly reviews of employee brokerage statements through third-party compliance tech
- Assist in on and off-site diligence of affiliated and unaffiliated service providers
- Assist in ensuring regulatory filings are completed in a timely and efficient manner
- Assist in preparing annual compliance training materials
- Assist in compliance training
- Assist in the selection and deployment of compliance related software
- Assist in the project management and distribution organization of quarterly mutual fund Board meeting materials
- Assist in preparing quarterly committee meetings, including materials
- General knowledge of regulatory requirements applicable to US investment managers and brokers dealers including the Investment Advisers Act and FINRA rules
- Bachelor's degree
- Compliance, audit or operations experience in a similar or larger firm
- Clear and efficient communicator
- Results oriented
- Excellent writing skills
- Strong organizational skills and ability to prioritize and manage multiple tasks
- Technologically proficient and knowledgeable in use of compliance software for email and code of ethics reviews
- Proficient in Word, Excel and PowerPoint
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Compliance Associate - Denver, United States - Shelton Capital Management
Description
Compliance Associate
Shelton Capital Management is currently hiring a Compliance Associate in our Denver office. We are seeking an ambitious, enthusiastic, detailed-oriented and highly organized candidate.
Key Responsibilities & Duties include, but are not limited to:
Ideal Qualifications and Experience:
At Shelton Capital Management, we combine the best traits of a large institutional firm—experience, sophistication, and a range of investment solutions—with the client–centric focus of an independent investment boutique. Our team of seasoned investment experts and dedicated client service professionals are focused on meeting the needs of all who put their trust in us, including financial advisors, individual investors, and participants in company-sponsored retirement plans.
The best candidate will be interested in developing a broad set of skills in a way that is only possible in a small organization. We are seeking candidates who are looking to grow with the company and assume new responsibilities as the company expands. This position offers the potential for career growth and advancement. Candidates must demonstrate a commitment to a strong regulatory structure and be committed to the execution of a rigorous compliance program.
The position will report to the Compliance Officer and is based in Denver with an expectation of limited travel. Our employees receive a base salary, bonus potential, paid healthcare, medical, dental and vision, and a 100% match on 401k contributions. We are committed to the success of our employees in their professional and personal lives. Candidates can expect the base salary for this position to be $75,000 annually.
Your application will be considered after you complete a standard pre-employment assessment. Please keep an eye out for an email with the link. Please check junk and spam folders as well.
