Conselium Executive Search
Senior Compliance Associate, Investment Management, Seattle WA
Conselium Executive Search, Seattle, Washington, us, 98127
Senior Compliance Associate, Investment Management, Seattle WA
Location: Seattle, WA (Hybrid – four days a week in office, relocation package available)
We are representing a well-established $9billion investment firm in their search for a Senior Compliance Associate in Seattle, WA
Why Join Us:
Opportunity to work alongside firm’s Chief Compliance Officer / Senior Counsel to further develop your exposure and expertise
Established firm with over $2billion increase in AUM over the past three years
Company culture of compliance and ethics, with top-down support for the program
Collaborative team-approach, including social and community events
Responsibilities:
Reporting to the Chief Compliance Officer / Senior Counsel, you will be responsible for supporting the firm-wide compliance program, including coverage of alternative investments for a global client base which includes public and corporate retirement plans, insurance companies, foundations, endowments, and high net worth individuals
Assist in implementing, monitoring and updating compliance program in accordance with applicable regulations
Perform existing and help design and implement new and/or improved testing procedures to evaluate policies and procedures in Code of Ethics and Regulatory Compliance Manual
Manage employee personal securities trading, political contributions, outside position, gifts and entertainment reporting, attestation and certification events on oversight platform
Review private fund marketing materials in accordance with Advisers Act Marketing Rule requirements
Support creation and delivery of compliance-related training for employees
Assist in managing regulatory examinations or inquiries
Support the annual compliance program review processes
Conduct research on applicable regulatory developments
Maintain and help manage compliance program for investor side letters
Maintain accurate records of regulatory deadlines, help compile data and information required for completion of regulatory filings, and help ensure timely submissions
Assist with the review, processing, and management of various fund products and portfolio related legal agreements, NDAs, vendor agreements, and investor communications
Manage and/or assist with legal and/or compliance projects as necessary
Qualifications:
You will bring several years of investment adviser/private investment fund compliance experience
Also desirable would be exposure to paralegal or legal assistant work currently or earlier in your career
Application Process for Senior Compliance Associate:
#J-18808-Ljbffr
We are representing a well-established $9billion investment firm in their search for a Senior Compliance Associate in Seattle, WA
Why Join Us:
Opportunity to work alongside firm’s Chief Compliance Officer / Senior Counsel to further develop your exposure and expertise
Established firm with over $2billion increase in AUM over the past three years
Company culture of compliance and ethics, with top-down support for the program
Collaborative team-approach, including social and community events
Responsibilities:
Reporting to the Chief Compliance Officer / Senior Counsel, you will be responsible for supporting the firm-wide compliance program, including coverage of alternative investments for a global client base which includes public and corporate retirement plans, insurance companies, foundations, endowments, and high net worth individuals
Assist in implementing, monitoring and updating compliance program in accordance with applicable regulations
Perform existing and help design and implement new and/or improved testing procedures to evaluate policies and procedures in Code of Ethics and Regulatory Compliance Manual
Manage employee personal securities trading, political contributions, outside position, gifts and entertainment reporting, attestation and certification events on oversight platform
Review private fund marketing materials in accordance with Advisers Act Marketing Rule requirements
Support creation and delivery of compliance-related training for employees
Assist in managing regulatory examinations or inquiries
Support the annual compliance program review processes
Conduct research on applicable regulatory developments
Maintain and help manage compliance program for investor side letters
Maintain accurate records of regulatory deadlines, help compile data and information required for completion of regulatory filings, and help ensure timely submissions
Assist with the review, processing, and management of various fund products and portfolio related legal agreements, NDAs, vendor agreements, and investor communications
Manage and/or assist with legal and/or compliance projects as necessary
Qualifications:
You will bring several years of investment adviser/private investment fund compliance experience
Also desirable would be exposure to paralegal or legal assistant work currently or earlier in your career
Application Process for Senior Compliance Associate:
#J-18808-Ljbffr