Larson Maddox
Overview
A rapidly growing fintech is looking to bring on a Compliance Associate to the team. Reporting to the Head of Compliance, the Compliance Associate will support the overall Core Compliance Program as well as elements of the Fund Formation and Administration process, as well as the SOC Compliance initiative. The position provides exposure to the full regulatory and operational lifecycle of a broker‑dealer and investment adviser that sponsors Private Funds. This role can sit fully remote anywhere in the US; salary will be dependent on years of experience and geographical location. Base Pay Range
$110,000.00/yr - $130,000.00/yr Responsibilities
Review/update compliance manuals and procedures Perform Web CRD Administration, Form ADV, Form PF & 13 filings Review marketing/advertising materials Prepare audit and exam responses (SEC, FINRA, etc) Support fund administration and corporate governance Requirements
3-5 years of relevant experience FINRA Series 7 & 24 Prior fintech experience a plus! Job Details
Seniority level: Associate Employment type: Full‑time Job function: Finance Industries: Investment Management
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A rapidly growing fintech is looking to bring on a Compliance Associate to the team. Reporting to the Head of Compliance, the Compliance Associate will support the overall Core Compliance Program as well as elements of the Fund Formation and Administration process, as well as the SOC Compliance initiative. The position provides exposure to the full regulatory and operational lifecycle of a broker‑dealer and investment adviser that sponsors Private Funds. This role can sit fully remote anywhere in the US; salary will be dependent on years of experience and geographical location. Base Pay Range
$110,000.00/yr - $130,000.00/yr Responsibilities
Review/update compliance manuals and procedures Perform Web CRD Administration, Form ADV, Form PF & 13 filings Review marketing/advertising materials Prepare audit and exam responses (SEC, FINRA, etc) Support fund administration and corporate governance Requirements
3-5 years of relevant experience FINRA Series 7 & 24 Prior fintech experience a plus! Job Details
Seniority level: Associate Employment type: Full‑time Job function: Finance Industries: Investment Management
#J-18808-Ljbffr