Sr. Associate, Compliance

Future Standard • Darien, CT

10h • Onsite

About The Position

The Compliance team is looking to add a Sr. Associate to their team in Darien, CT. This role offers a high degree of visibility and opportunity for advancement.

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 verbal and written communication skills
• Ability to write policies and prepare footnote/compliance disclosures
• 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
• Strong analytical, strategic, and problem-solving skills
• 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
• 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

What This Job Offers

• Job Type: Full-time
• Career Level: Senior