Associate, Compliance

Future Standard•Darien, CT

12d•Onsite

About The Position

The Compliance team is looking to add an Associate to their team in Darien, CT or Philadelphia, PA. The opportunity is responsible for interpreting complex regulatory requirements, implementing monitoring frameworks, and advising business lines to mitigate legal, operational and reputational risk, and ensure that daily operations align with applicable federal, state, and international standards.

Requirements

At least 4 years of experience working at an SEC-registered investment advisor and/or a compliance advisory firm
Proactive, a self-starter and possess strong analytical acumen, sound executive judgment, discretion in handling sensitive investigations, and excellent written communication for drafting policies and formal regulatory correspondence.
Ability to write policies and prepare footnote/compliance disclosures
Working knowledge of key financial regulations, such as the Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Exchange Act of 1934, Dodd-Frank, BSA/AML/OFAC, or FINRA Conduct Rules.
Must be comfortable wearing several hats and juggling diverse requests
Ability to comfortably handle pressures and deadlines of a high-growth, fast-paced and demanding environment
Bachelor’s degree required
Exceptional written and verbal communication skills
Proficiency in Microsoft 365 — Word, Excel, and PowerPoint
Impeccable attention to detail
Ability to work under time pressure
Ability to interface with multiple systems to acquire needed information
Confidence to interact with all levels of management, both internally and external

Nice To Haves

Knowledge of MNPI rules and expert network monitoring is strongly preferred
Knowledge of SEC private fund requirements

Responsibilities

Assist in supervising/analyzing the firm’s compliance program and advocating for a strong culture of compliance with all employees
Maintain firm’s Compliance Manual and perform annual compliance assessment
Monitor employee’s compliance with firm’s Code of Ethics, including personal trading policies
Aid in regulatory filings, such as Form PF, 13F, 13H, 13G, ADV, etc.
Ensure compliance in regulatory matters throughout the business development and investor relations processes
Maintain up-to-date knowledge of industry best practices to further develop effective compliance policies and procedures
Review contracts, NDA’s, vendor agreements
Draft, update, and maintain comprehensive compliance policies and written supervisory procedures (WSPs) to reflect evolving rules and industry best practices.
Coordinate responses to regulatory inquiries, audits, and routine examinations from regulatory authorities (e.g., SEC, FINRA, CFTC/NFA, state regulators); liaise with external legal counsel as needed.
Monitor cybersecurity of the firm, including penetration/vulnerability testing, disaster recovery testing and mock-phishing exercises
Coordinate firm-wide compliance training, sexual harassment training and cybersecurity training
Review marketing collateral, RFP submissions, investor presentations, and product launch materials to ensure adherence to advertising and marketing rules.