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    Compliance Associate - Charlotte, United States - Larson Maddox

    Larson Maddox
    Larson Maddox Charlotte, United States

    2 weeks ago

    Default job background
    Accounting / Finance
    Description

    A growing registered investment advisor is adding to their legal and compliance team and is looking for you to be the firms next Compliance Associate This is an incredibly exciting time to join the firm as they are opening their first office in the Southeast - offering an opportunity to be a founding member of the office. The Compliance Associate will be responsible for a variety of compliance related matters, which are detailed below. If you are passionate about compliance and looking for an opportunity where the growth potential is exceptional, apply in now

    The Compliance Associate will be responsible for:

    • Enforcing Compliance policies such as the Code of Ethics, employee certifications, regulatory filings, and document retention.
    • Monitoring personal and firm trading, maintaining restricted lists, managing various logs, conducting document review and upload, call monitoring, approving expert networks, and communicating regularly with third-party brokerage firms.
    • Assisting in the annual review and training of compliance policies, as well as conducting reviews of the compliance program and regulatory updates for Compliance Committee meetings.
    • Conducting back testing related to expense allocations, trade allocation exceptions, managed accounts, and personal trading accounts.

    The Compliance Associate should have the following qualifications:

    • Strong academic background.
    • 3 - 7 years of relevant experience in accounting firms, financial institutions, consulting firms, or regulatory agencies.
    • Professional and able to handle confidential information with trustworthiness.
    • Excellent interpersonal and communication skills, both written and verbal.
    • Strong analytical skills, attention to detail, organizational abilities, and proven multitasking capabilities.
    • Ability to work effectively under pressure in a fast-paced environment.
    • Self-starter, capable of working independently and quick to learn.

    If what is listed above sounds like what you are looking for, do not wait to apply into this fast moving Compliance Associate opportunity

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