Compliance Associate

Highly-regarded investment management firm is seeking a compliance associate to join their dynamic team.

• Support preparation and filing of Form ADV, Form PF, and other regulatory submissions for firm's registered investment adviser entity
• Assist with compliance certifications for partners and portfolio managers
• Monitor regulatory developments and help assess impact on fund operations and advisory activities
• Maintain compliance calendars and tracking systems
• Code of Ethics & Personal Trading
• Experience with Comply Sci the Firm's code of ethics software
• Monitor compliance with Code of Ethics requirements and restricted lists
• Maintain records of personal securities transactions and holdings reports
• Maintain restricted securities list and other monitoring logs
• Anti-Money Laundering & Sanctions

Qualifications:

• 2-4 years of experience in compliance or legal, (venture capital/private equity experience a plus)
• Experience with the reporting system Comply Sci
• Strong understanding of or willingness to learn Investment Advisers Act requirements
• Must be organized and detail organized
• Excellent written and verbal communication skills
• Proficiency with Microsoft Office Suite (Excel, Word, PowerPoint)
• Self-starter with ability to work independently and collaboratively