Position Summary: Assist the Compliance Officer in implementing and managing the organization’s compliance program and coordination of legal matters. Instill a culture of compliance in accordance with legal, regulatory and IT guidelines.
• Assist Compliance Officer in the following:
o Develop regulatory and compliance policies, procedures, and processes in accordance with applicable laws and regulations; analyze applicable laws and regulations for impact on the regulatory and compliance monitoring function.
o Perform Regulatory and compliance oversight and testing to ensure the adequacy of the compliance programs as they relate to insider trading and other securities-related matters, including e-mail monitoring policies and procedures.
o Implement procedures to address new regulatory rules and requirements; prepare and maintain various regulatory filings.
o Coordinate and respond to Regulatory and/or compliance examinations conducted by internal or external parties.
o Prepare and conduct ongoing Regulatory and compliance training for employees.
o Review and draft various documents and provide general consultation and/or commentary.
o Liaise with relevant external counsel and senior management to assess legal risks and plan actions to control or minimize such risks.
o Conduct internal audits and surveillance of departmental adherence to corporate rules and regulations.
• Assist the Corporate Secretary in scheduling and preparation for Board and Compliance Committee meetings (the “Meeting”), preparing the Meeting materials, agendas, and minutes, maintaining corporate governance documents including by-laws and charters, prepare state filings.
• Miscellaneous duties as assigned.
• Bachelor’s degree with a strong academic record required. Preferably in Finance, Law, Business, or Financial Services.
• 2-5 years of Compliance, legal, corporate planning or related experience, preferably at a registered investment adviser, other regulated financial institutions, the SEC, or a regulatory consulting firm.
• General understanding or ability of understanding of Federal Securities Laws, especially the Investment Advisers Act of 1940; ability to comprehend and apply applicable laws and regulations.
• Effectively and concisely identify issues and communicate findings to others.
• Outstanding interpersonal and organizational skills, including prioritizing, multi-task, and proactively following up.
• Fluency in English required.
• A flexible team player able to adapt to change.