Glocap Business Professionals, Administrative, Operations
Compliance Associate
Glocap Business Professionals, Administrative, Operations, Hartford, Connecticut, United States
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Our client is a registered investment advisor. They are seeking a Compliance Associate to join their team.
Responsibilities
Manage day-to-day compliance matters, ensuring adherence to the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
Oversee and implement compliance policies and procedures, updating as needed to reflect changes in regulatory requirements and business practices.
Prepare and submit accurate regulatory filings (ADV, 13F, Form D, RIC filings, etc).
Work with COO to handle any regulatory inspections, audits or inquiries.
Oversee the annual compliance review including employee training and risk assessments.
Coordinate with the COO and trading desk to provide real-time guidance on compliance rules and potential trading restrictions.
Manage the fund’s Board Meetings and coordinate any director’s resolutions.
Manage employee trading requests and annual attestations through third‑party compliance system, MyComplianceOffice.
Qualifications
1-2 years direct compliance experience at an Asset Manager (Long Only Fund, Hedge Fund), Compliance Consulting Firm, Law firm, or similar.
Strong academic background with a degree in Finance, Law or related field.
Must possess strong working knowledge of the Investment Advisers Act and Investment Company Act.
Excellent written and verbal communication skills, with the ability to articulate complex concepts clearly.
Strong organization skills and exceptional attention to detail.
Self‑motivated and proactive, with the capacity to manage multiple projects and deadlines.
Seniority level: Associate
Employment type: Full-time
Job function: Finance
Industries: Executive Search Services and Investment Management
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Direct message the job poster from Glocap Business Professionals, Administrative, Operations
Our client is a registered investment advisor. They are seeking a Compliance Associate to join their team.
Responsibilities
Manage day-to-day compliance matters, ensuring adherence to the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
Oversee and implement compliance policies and procedures, updating as needed to reflect changes in regulatory requirements and business practices.
Prepare and submit accurate regulatory filings (ADV, 13F, Form D, RIC filings, etc).
Work with COO to handle any regulatory inspections, audits or inquiries.
Oversee the annual compliance review including employee training and risk assessments.
Coordinate with the COO and trading desk to provide real-time guidance on compliance rules and potential trading restrictions.
Manage the fund’s Board Meetings and coordinate any director’s resolutions.
Manage employee trading requests and annual attestations through third‑party compliance system, MyComplianceOffice.
Qualifications
1-2 years direct compliance experience at an Asset Manager (Long Only Fund, Hedge Fund), Compliance Consulting Firm, Law firm, or similar.
Strong academic background with a degree in Finance, Law or related field.
Must possess strong working knowledge of the Investment Advisers Act and Investment Company Act.
Excellent written and verbal communication skills, with the ability to articulate complex concepts clearly.
Strong organization skills and exceptional attention to detail.
Self‑motivated and proactive, with the capacity to manage multiple projects and deadlines.
Seniority level: Associate
Employment type: Full-time
Job function: Finance
Industries: Executive Search Services and Investment Management
Referrals increase your chances of interviewing at Glocap Business Professionals, Administrative, Operations by 2x
Get notified about new Compliance Associate jobs in
Fairfield County, CT .
Fairfield County, CT $85,000 - $110,000 2 weeks ago
Stamford, CT $90,000 - $110,000 1 week ago
Stamford, CT $150,000 - $400,000 2 days ago
Stamford, CT $114,700 - $194,900 3 weeks ago
Stamford, CT $54,400 - $74,100 13 hours ago
#J-18808-Ljbffr