Compliance AnalystBookmark This
Robert Half Finance & Accounting
The Compliance Associate will directly report to the Chief Compliance Officer. In addition to general administrative support for the Compliance function, the Compliance Associate's anticipated duties will be:
Assist with the preparation and submission of periodic regulatory filings (e.g. Form ADVs, Form 13s, CIMA, etc.).
Responsible for implementing and maintaining an online compliance reporting calendar.
Assist with monitoring the Code of Ethics.
Assist with monitoring pre and post trade compliance.
Coordinate document record maintenance and retention.
Review of marketing materials.
Coordinate special projects as necessary.
Review and maintenance of contracts (JD required).
This individual will have the opportunity to be a part of a fast paced environment with significant opportunity for growth and development.