Compliance Associate

Job Description

Compliance Department

A strong compliance culture is central to the firm’s values. The Compliance Department is comprised of two organizational functions.   The first is business unit compliance, which is generally co-located within the various business units and is the first point of contact for all compliance related issues and questions that arise in the business.  The business unit compliance team is responsible for providing advice and general compliance guidance as well as drafting line of business specific policies and procedures.  The second function is cross line business compliance.  This function provides cross line of business support including: compliance reviews; handling regulatory inquiries and exams; conflict and risk identification; monitoring and surveillance; ethical walls; personal trading; compliance policies and procedures; and continuing education and training.  


The Compliance team seeks a full-time Associate. The Associate role is a three-year program. This position will report to Capital Markets Compliance and will be a member of the compliance team.  The compliance team provides advice and guidance, addresses business specific issues and drafts business policies and procedures.  These business compliance officers serve as the first point of contact for compliance-related questions and issues that may arise. Specific responsibilities may include some or all of the following responsibilities:

·         Address compliance and risk-related matters, questions and concerns raised by the business(es) she/he covers.

·         Develop and implement all compliance requirements in the business(es).

·         Partner with the Investment staff to trouble-shoot compliance-related questions.

·         Partner with the Trading Desk to assess trading compliance questions.

·         Collaborate with the Investor Relations business unit compliance officer to review and document advertising and marketing materials to ensure consistency and high standards of disclosures.

·         Collaborate with the Compliance team to cover all business areas.  Each person will have a primary and back up business coverage assignment to ensure a broad and consistent knowledge base.

·         Coordinate with Compliance team members on committee presentations.

·         Work with Compliance Department to ensure relevant regulatory filings are submitted appropriately.

·         Respond to issues and questions identified by the surveillance staff. Work with the business unit compliance officers to identify solutions for systematic issues.

·         Assist with compliance assurance matters and examination readiness.  Work with business unit compliance officers to identify solutions for issues. 

·         Communicate to management all issues and risks that need to be addressed.  

·         Work with business unit compliance officers to develop applicable policies and procedures for business unit functions.    

·         Work on long term projects aimed at strengthening the compliance program.

General Qualifications

·         Bachelor’s degree with a strong GPA.

·         Dedicated team player with a strong sense of ownership and follow-through skills.

·         Collegial and team-oriented.

·         Capacity to handle highly confidential and sensitive information.

·         Detail-oriented, conscientious and energetic professional with the ability to think creatively.

·         Excellent organizational skills; ability to prioritize multiple projects with high attention to detail.

·         Customer service orientation with strong interpersonal skills with the capacity to interact with outside parties and personnel across all levels of the firm. 

·         Strong problem-solving skills.

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