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    Legal & Compliance Associate - New York, United States - Reputable Staffing, Inc.

    Reputable Staffing, Inc.
    Reputable Staffing, Inc. New York, United States

    Found in: Appcast Linkedin GBL C2 - 3 days ago

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    Description

    Our client is seeking a Compliance professional to join their Legal & Compliance team in providing the following support for their firm's regulated entities in the US and UK.

    Responsibilities:

    • Supervise firm's compliance monitoring technology platform & review Code of Ethics preapprovals.
    • Support business with questions related to compliance with company policies.
    • Administer & monitor quarterly attestations including outside business activities, gifts, and entertainment review, and political contributions.
    • Play an active role in the maintenance, surveillance & enhancement of firm's compliance policies & procedures.
    • Assist with overall organization & operation of the firm's compliance functions.
    • Maintain compliance records.
    • Liaise with the firm's marketing team & review marketing materials
    • Coordinate completion & submission of regulatory filings, including Form ADV, Form PF, and others
    • Perform regulatory analysis with respect to SEC rulemaking
    • Assist with fund onboarding & investor AML/KYC
    • Manage personal trade review compliance program
    • Support overall functions of the Legal & Compliance Depart for the firm's investment adviser & broker-dealer.

    Qualifications:

    • 2-3 years of experience working in the compliance function at a fast-paced, sophisticated financial services firm.
    • Bachelor's degree is mandatory. JD a plus.
    • Highly organized & capable of prioritizing a diverse workload
    • Excellent oral & written communication skills with ability to interact effectively & professionally across all levels from staff to senior management.
    • Proficiency in Microsoft Word, PowerPoint, Outlook, and Excel
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