Our client is an investment adviser that focuses on investing in Asia Pacific markets. They are hiring a compliance associate to manage and enhance the department and will report to the CCO.
Responsibilities
Serving as the primary administrator of the Firm’s compliance software – including Eze Compliance, ComplianceALPHA
Ensure compliance with Code of Ethics requirements including review of employee personal trades and generation and tracking of compliance affirmations
Perform compliance testing and monitoring in all relevant areas
Assist in regulatory reporting and filings, such as Form ADV, Form PF, and 13 Filings
Corporate governance matters, including participating in firm committees and drafting minutes
Assist with conducting various compliance trainings for the firm
Maintain Indus’ books and records in compliance with applicable law and the Firm’s document retention policy
Requirements
Bachelor’s degree with strong academic performance
2-3 years of compliance experience
Understanding of relevant SEC rules and regulations
General knowledge of federal and state securities filing requirements
Salary Range
$80,000-$95,000
Seniority level
Entry level
Employment type
Full-time
Job function
Finance and Sales
Industries
Staffing and Recruiting
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