- Responsible for new employee training and reporting requirements, serving as a resource for employees with compliance and ethics questions.
- Initiate and manage quarterly firm-wide certifications and assist employees to ensure timely completion.
- Lead Corporate Actions and work with the Legal department to ensure that all deadlines are met.
- Review employee disclosures and provide quarterly and annual reports to senior management.
- Work with other departments within the Firm on AML issues and client due diligence.
- Assist employees with data entry, opening and closing of accounts, stock splits, trade confirmation.
- Maintain correspondence with brokers concerning employee accounts and data feed maintenance.
- Ensure that all compliance matters are properly investigated and that appropriate action is taken and documented.
- Prepare and present timely, accurate and objective reports to senior management as required.
- Perform other ad hoc responsibilities as assigned.
- Assist on periodic updates to the Firm's Compliance Manual, Form ADV and other regulatory filings.
- BA/BS degree
- Preferably 1-2 years of compliance related experience with a registered investment advisor or regulator
- Ability to meet deadlines and work well independently
- Strong organizational skills and attention to detail
- Ability to communicate with employees at all levels of the organization
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Compliance Associate - Boston, United States - Cambridge Associates
Description
CAREERS THAT CHANGE THE WORLD
OUR CULTURE
Cambridge Associates believes culture is central to your success and ours.
We believe in a vibrant, values-driven culture that is supportive, inclusive, and diverse. Here, we celebrate the individual while we support global connectivity. At CA, collaboration wins, kindness matters, and your success is our priority.
o We foster an inclusive and diverse environment that enables all individuals to engage and bring their full selves to work.
OUR CLIENTS
Cambridge Associates believes our clients come first.
Our clients are the most compelling endowments, foundations, pensions, private clients and institutional investors around the globe. We lock arms with them to meet and exceed their investment objectives, so they can change the world.
OUR PEOPLE
Cambridge Associates believes we do our best when you do your best.
At CA, we are only as successful as you are. We actively recruit and invest in the most dynamic and diverse talent and then empower you to succeed.
By leveraging your unique skills, developing your individual career goals, and building a collaborative global community of connected, diverse individuals, we build a community that is stronger together.
But enough about us. Tell us about YOUo Are you a bold individual seeking an opportunity to contribute to a value-based, collaborative environment in some of the most exciting cities around the globe?
o Are you eager to work for an organization committed to diversity, inclusion, sustainability, and Corporate Social Responsibility?
o Do you strive to work in an environment that encourages innovation and teamwork?
o Are you a thought leader who cares about making a difference in the world while contributing to an amazing culture?
o Do you value a challenging professional opportunity where you can leverage your skills, gain a valuable foundational in finance and investment, and build a long-term career development plan?
o Are you seeking a competitive salary a robust and comprehensive benefits program, and a variety of attractive benefits and perks?
THE OPPORTUNITY
Under the guidance of the Chief Compliance Officer and Compliance Director, the Compliance Associate is responsible for the coordination, ongoing development and administration of employee reporting, web-based compliance training, and anti-money laundering (AML) and customer due-diligence programs.
The Compliance Associate will also participate in the development and implementation of the Firm's overall compliance program and corporate reporting and maintenance program.
RESPONSIBILITIES
MINIMUM QUALIFICATIONS
Click HERE to learn more about how Cambridge Associates lives our firm values every day. )
Click HERE to learn more about Cambridge Associates invests in diversity and inclusion. )
Click HERE to learn more about our commitment to Corporate Social Responsibility. )
EQUAL OPPORTUNITY EMPLOYMENT
The firm is committed to the concept and practice of equal employment opportunity and will not discriminate against any employee or applicant on the basis of race, color, religion, age, sex, national origin, sexual orientation, gender identity, disability, or veteran status.
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