Remote Senior Compliance Associate

Summary

Join a technology company that applies state-of-the-art machine learning techniques to real-world problems in finance as a Senior Compliance Associate. You will work on the investment advisory compliance program for an SEC-registered investment adviser and NFA commodity pool operator, reporting directly to the COO. The firm offers highly competitive compensation and benefits packages, technology talks by experts, a beautiful modern office, daily catered lunches, and more.

Requirements

• 7+ years of experience at: (i) an investment adviser or commodity pool operator working with private investment funds or SMA investors; (ii) a securities compliance consulting firm; (iii) a law firm working on relevant matters; or (iv) compliance division of a securities regulator (e.g., SEC, NFA, CFTC)
• Knowledge of the Investment Advisers Act of 1940 and its related rules and regulations, as well as broad knowledge of compliance programs
• Excellent research, analytical, organizational, written and verbal communication skills
• Candidates will be required to prepare and submit a work sample for evaluation
• Bachelor’s degree or higher educational attainment
• Authorization to work in the United States

Responsibilities

• Materially assist in the preparation of regulatory filings (e.g., Form ADV, Forms 13H and 13F, CFTC and NFA filings, state 'Blue Sky' filings and others)
• Review, revise, develop, and implement policies and procedures to address new business practices or regulatory changes (e.g., CTA, etc.)
• Work closely with other members of the firm to analyze the compliance impact of investment strategy changes, and implement changes to the compliance program
• Develop and test various compliance policies, procedures, and other controls
• Assist with the day to day administration of the firm's Code of Ethics software system for employee compliance, which includes personal trading by employees and other access persons, various periodic certifications by employees and other documentation, etc
• Assist with the preparation and completion of compliance risk assessments and the annual compliance review
• Conduct compliance training to employees
• Review marketing materials and other communications for regulatory compliance

Benefits

• Medical, dental and vision coverage
• Life and AD&D insurance
• 20 days of paid time off
• 9 sick days
• A 401(k) plan with a company match