Compliance Associate

Wasatch Global Investors • Salt Lake City, UT

4d

About The Position

Wasatch is looking to add an associate to its Legal and Compliance department. As a registered investment adviser Wasatch is required to adopt policies and procedures to avoid violation of securities laws. Responsibilities will include designing, implementing, and monitoring compliance policies and procedures to ensure compliance with federal and state regulatory requirements for a registered investment adviser. The compliance program for Wasatch as an adviser includes areas such as public disclosures, advertising, proxy voting, privacy, cybersecurity, and several trading policies. In addition, Wasatch is responsible for adopting and monitoring a compliance program for the Wasatch Funds.

The Compliance Associate will be expected to:

· Work closely with other members of the Compliance and Legal department on compliance matters and issues daily;
· Become the point person on certain compliance matters and issues and become involved in analyzing and resolving significant compliance issues that arise;
· Work on identifying risks, establishing policies and procedures to address those risks, and then implementing those policies and procedures;
· Undertake testing and evaluation of the firm’s compliance practices;
· Review advertising and marketing materials for compliance;
· Maintain and work to a compliance calendar that identifies all important dates by which regulatory, client reporting, and other compliance matters must be completed to ensure that important deadlines are not missed;
· Remain current on regulatory and compliance issues and participates in continuing education programs;
· Assist in training Wasatch employees in compliance-related matters.

Requirements

• Self-motivated but collaborative, team-first approach with a problem-solving mindset.
• Skilled in both verbal and written communication.
• Knowledge of relevant legal and regulatory requirements, standards and principles governing Registered Investment Advisers and Registered Investment Companies is a plus.
• Ability to maintain a high degree of sensitivity and exercise discretion on confidential matters is mandatory.
• Demonstrated ability to organize, set priorities, and manage multiple competing deadlines simultaneously.
• Minimum of bachelor’s degree required.
• Direct compliance experience in the financial services industry is preferred.

Nice To Haves

• Investment Adviser Certified Compliance Professional (IACCP), Certified Compliance and Ethics Professional Certification (CCEP), Certified Regulatory and Compliance Professional (CRCP), or similar professional certification is a plus.

Responsibilities

• Work closely with other members of the Compliance and Legal department on compliance matters and issues daily
• Become the point person on certain compliance matters and issues and become involved in analyzing and resolving significant compliance issues that arise
• Work on identifying risks, establishing policies and procedures to address those risks, and then implementing those policies and procedures
• Undertake testing and evaluation of the firm’s compliance practices
• Review advertising and marketing materials for compliance
• Maintain and work to a compliance calendar that identifies all important dates by which regulatory, client reporting, and other compliance matters must be completed to ensure that important deadlines are not missed
• Remain current on regulatory and compliance issues and participates in continuing education programs
• Assist in training Wasatch employees in compliance-related matters

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Number of Employees: 101-250 employees