Job Description
PRIMARY FUNCTIONS AND RESPONSIBILITIES
• Perform and assist in ongoing compliance testing in all compliance areas, including inside information and safeguarding of material non-public information, code of ethics, code of conduct, conflicts of interest, marketing and advertising
• Conduct electronic surveillance and review supporting documentation to prepare detailed testing workpapers that substantiate findings and outcomes
• Identify compliance risks and control deficiencies, recommend corrective actions and enhancements based on test results
• Collaborate with Compliance professionals and other internal constituents in execution of testing of Compliance policies
QUALIFICATIONS
Education:
•Bachelor’s degree preferred
Experience Required:
•1 to 3 years of compliance and/or paralegal experience within the financial services industry
•Proficiency with Microsoft Office (Excel, Word, Teams, PowerPoint)
General Requirements:
• Energetic, initiative-taking, coachable, detailed oriented and organized;
• Ability to work in a fast-paced environment, overseeing multiple testing areas, demonstrating effective time/task management, and meeting deadlines
• Solid written, verbal and interpersonal skills;
• Strong analytical and critical thinking skills;
• Creative, entrepreneurial, able to work in teams under high pressure and contribute to a collaborative environment;
• Resilient with ability to adapt to changing business priorities and emerging technologies;
• Invested in own personal development;
• Consistently pursues client experience excellence; and,
• Familiarity with Compliance platforms such as StarCompliance, ComplianceAlpha or Global Relay is an added advantage.
• Knowledge of the investment management and private fund industry, regulatory and compliance environment
• Strong organizational skills, attention to detail, knowledge and ability to direct client teams, and ensure delivery of quality work product.
• Ability to proactively establish, track, and achieve goals, projects, and tasks needed to ensure success.
Reporting Relationships
There is no set deadline to apply for this job opportunity. Applications will be accepted on an ongoing basis until the search is no longer active.
