Provide compliance, operational and administrative support to an SEC registered investment adviser to ensure the firm's full compliance with all applicable laws and regulations including the Investment Adviser Act of 1940.
Conduct various day-to-day compliance activities and report to the CCO in accordance with the firm's compliance policies and procedures, which include investment guideline monitoring, trade surveillance, personal trade monitoring, email reviews, compliance risk assessment, broker reviews, vendor due diligence, account list maintenance, and AML/OFAC reviews, etc.
Assist with corporate secretarial work including coordinating meetings and preparing the minutes of the board meetings, Risk & Compliance Committee, Best Execution Committee, and Investment Committee.
Assist the CCO in updating and filing of Form ADV Parts 1 and 2. Deliver required documents to clients including Form ADV Part 2A/2B.
Assist the CCO in updating and maintaining policies and procedures as appropriate.
Assist the CCO in conducting compliance training.
Serve as point of contact for other departments, the parent company, service providers, and counter parties.
Monitor new regulatory developments and prepare monthly reports.
Prepare and submit various compliance and risk management reports to the committees and the parent company as necessary.
Establish and maintain required books and records. Arrange execution and maintain legal agreements.
Assist the CCO in managing internal and external audits, regulatory examinations, and various compliance projects.
Provide administrative support to the CCO including photocopying, maintaining paper and electronic files, data entry, mailing, and coordinating meetings, etc.
1-3 years of experience in the areas of legal, compliance, risk management, or back office in the financial industry.
Basic knowledge of securities products, investment advisory services and arrangements, and related regulatory requirements.
Proficiency in MS Office Word, Excel, and PowerPoint.
Excellent written and oral communication skills.
Strong research, analytical and problem solving skills.
Attention to detail. Accurate and timely recordkeeping skills.
Self-starter. Ability to work in a fast pace environment with minimal supervision and independent follow-up skills.