Compliance Associate - Phaxis LLC
New York, NY 10020
About the Job
RIA client with approximately $6.5B in AUM is seeking a compliance associate to join their team.
Candidate would be responsible for supporting compliance functions, regulatory filings, and internal controls. This role will be instrumental in helping maintain compliance with SEC, NFA, and other applicable regulations, ensuring the firm's adherence to policies and regulatory requirements. The ideal candidate will have prior experience in compliance, particularly within an investment management or financial institution, and demonstrate a deep understanding of applicable regulatory frameworks.
Key Duties and Responsibilities:
- Assist with the annual compliance review process and preparation of the annual report on policies and procedures.
- Develop, review, and revise compliance policies and procedures as needed.
- Assist with employee compliance training, development, and new hire onboarding.
- Assist with the preparation and coordination for SEC and NFA examinations.
- Support with regulatory filings (e.g., ADV, PF-PQR) and respond to internal control requests such as SOC reports and annual audits.
- Perform periodic back-testing of key compliance policies such as the Allocation Policy, Valuation Policy, Code of Ethics, and Compliance Manual.
- Compliance Surveillance: Assist with compliance surveillance activities, including email monitoring, political contribution preclearances, and personal trading preclearances.
Qualifications:
- Bachelor's Degree in a related field.
- 2-5 years of compliance experience in an investment management firm, financial institution, or consultancy supporting hedge funds, private equity, or investment managers.
- Knowledge of U.S. regulatory requirements, particularly the Investment Advisers Act; NFA and/or Client experience is a plus.
Source : Phaxis LLC