- Perform and document reviews to assess the effectiveness of controls and ensure adherence to laws, regulations and firm policies
- Prepare required documentation evidencing compliance with policies and procedures
- Assist with regulatory filings.
- Assist in organization and maintenance of all required books and records, including maintain various logs and spreadsheets and other tools as part of our compliance program
- Assist in the administration of all aspects of the Firm's Code of Ethics
- Assist with the review of marketing materials
- Conduct due diligence of and monitor vendors, research and data providers and other third parties for compliance purposes
- Additional ongoing internal and external training will be provided
- Bachelor's degree with strong academic performance; JD is a plus (though not required)
- 1-3 years of compliance experience, preferably at an asset manager, or law or compliance firm
- Knowledge of Investment Advisers Act of 1940 a plus
- Best in class organizational skills
- Strong Excel and SharePoint skills; ability to use technology; able to produce reports and track compliance data
- Ability to work independently and handle multiple tasks simultaneously while being a proactive team member
- Carry out multiple assignments in a fast paced environment and meet deadlines
- Ethical high standards and integrity
- For additional information on RockCreek, please visit
- Follow us on LinkedIn:
- RockCreek is an Equal Opportunity Employer and does not discriminate against any employee or job applicant because of race, color, religion, national origin, sex, gender, gender identity, physical or mental disability, or age.
- Ability to work remotely with support technology
- Medical, dental, and vision insurance; dependents eligible
- 401(k) retirement plan with company match
- Paid time off, sick leave, and company holidays
- Wellness programs including meditation and fitness classes
- Onsite gym
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Compliance Analyst - Washington, United States - The Rock Creek Group
Description
Company DescriptionRockCreek is a leading global investment management firm that applies data-driven technology and innovation to sustainable investing.
RockCreek's entrepreneurial spirit, open culture, and inclusive team lead to better investments for universities, foundations, pension plans, and sovereign funds that partner with us.
The firm is highly focused on the integration of environmental, social, and governance (ESG) factors as well as diversity and sustainable impact across portfolios to generate long-term returns.
RockCreek has a culture of diversity, debate, and relentless drive to excel. RockCreek is among the largest inclusive firms in the world.Since our founding, RockCreek's commitment to sustainable investing, long term value creation, and good governance has begun at home.
The way we operate our offices and partner with multiple stakeholders are in keeping with our aim to have a positive impact on markets globally and reduce our carbon footprint.
Our founders have a deep commitment to sustainability as well as extensive experience with sustainable impact investing and ESG policies which date back to the 1980s including investing in energy, health, education, fintech, and financial inclusion.
Job Description
The Compliance Associate will join the Legal and Compliance team and will work on a wide variety of compliance matters for an SEC registered advisor.
The ideal candidate will have the following skills and experience:
Consistent with our belief that team members are our most valuable asset, RockCreek offers a competitive benefits package.
Compliance Analyst professionals in Washington, D.C.
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Gil Huerta
Cybersecurity Analyst ( Active TS/SCI )