Compliance Associate

RemotelyHR•Newport Beach, CA

3d•Hybrid

About The Position

Canterbury Consulting, Inc. ("Canterbury") is a 65+ person registered investment advisor (RIA) that provides investment advice to a broad set of clients with net assets ranging from $10M to $2B. Canterbury services clients in US and Canada. Clients include both tax-exempt - public and private foundations, endowments and pension plans - and taxable - corporate plans and high net worth and ultra-high net worth individuals and families - and invest in both traditional assets such as public equities and bonds and alternative assets such as private capital, hedge funds and real assets (commodities, real estate, etc.). Canterbury customizes each client's portfolio, based on their needs, wants, risk preferences and liquidity requirements. Canterbury also manages a series of private commingled funds in the following categories: Private Equity, Private credit, co-investments and direct investments. Canterbury Consulting was named one of the Best Places to Work by the Orange County Business Journal in 2021, 2022, 2023 and 2024, and Best Places to Work in Money Management by Pensions & Investments for the last three years. Canterbury is seeking candidates with excellent quantitative, qualitative, and interpersonal skills for an Associate position on Canterbury’s Team. The position’s primary role will be to engage broadly in various areas of compliance and regulations.

Requirements

2+ years of prior experience in compliance, preferably at an investment advisory firm.
Self-driven and able to work independently. Exceptional organizational skills; the ability to effectively prioritize tasks, follow up, produce consistently accurate work, and meet strict deadlines.
Strong problem-solving skills and detail-oriented. Driven by a sense of curiosity and desire to understand context around matters.
Strong communication and presentation skills; the ability to articulate clear ideas/strategies, both verbally and in writing, internally and externally.
Intelligent, bright, critical thinker, and a quick learner with the ability to quickly assess a situation and generate new insights and usable ideas.
Have a strong sense of integrity, behaving consistently with expressed values and ethical principles of the firm.
A degree in finance, economics, or a related field.

Responsibilities

Manage and perform ongoing review and testing of firm’s written communications and elements of code of ethics as followed by each of the firm’s employees.
Complete firm’s regulatory filings in the US and Canada where firm is registered as portfolio manager and exempt market dealer. Firm’s filing obligations include those of an RIA as well as a private fund manager.
Support the ongoing development of the investment adviser compliance program, working closely with the Chief Compliance Officer to drive enhancement and ensure consistency globally across disclosure documents (ADV and other filings), compliance manuals, and other regulatory documents.
Manage custody audit, GIPS verification, and various other compliance audits. Assist CCO in quarterly audit activity with Department Heads.
Assist with review of marketing and client reporting material, and maintain related records.
Perform ongoing review and testing of firm’s compliance policies and procedures.
Assist CCO in conducting compliance training activity at firm. Help develop policies and procedures for new and growing areas of firm’s business.
Perform review of internal and external communications, in accordance with the firm’s compliance policies and procedures.
Assist in independent second line risk-based testing, themed reviews, and ad-hoc reviews of procedures, business and compliance processes to identify and bridge potential gaps in adherence to applicable laws, regulations, regulatory guidance and policy.
Support the compliance department with the task of maintaining appropriate and complete books and records on compliance related processes and also effective testing of processes.
Proactively respond to business and regulatory changes as they apply to firm’s business activities.