Senior Compliance Associate
Investment Management
Location: Seattle, WA (Hybrid – four days a week in office, relocation package available)
We are representing a well-established $9billion investment firm in their search for a Senior Compliance Associate in Seattle, WA
Why Join Us:
- Opportunity to work alongside firm’s Chief Compliance Officer / Senior Counsel to further develop your exposure and expertise
- Established firm with over $2billion increase in AUM over the past three years
- Company culture of compliance and ethics, with top-down support for the program
- Collaborative team-approach, including social and community events
Responsibilities:
- Reporting to the Chief Compliance Officer / Senior Counsel, you will be responsible for supporting the firm-wide compliance program, including coverage of alternative investments for a global client base which includes public and corporate retirement plans, insurance companies, foundations, endowments, and high net worth individuals
- Assist in implementing, monitoring and updating compliance program in accordance with applicable regulations
- Perform existing and help design and implement new and/or improved testing procedures to evaluate policies and procedures in Code of Ethics and Regulatory Compliance Manual
- Manage employee personal securities trading, political contributions, outside position, gifts and entertainment reporting, attestation and certification events on oversight platform
- Review private fund marketing materials in accordance with Advisers Act Marketing Rule requirements
- Support creation and delivery of compliance-related training for employees
- Assist in managing regulatory examinations or inquiries
- Support the annual compliance program review processes
- Conduct research on applicable regulatory developments
- Maintain and help manage compliance program for investor side letters
- Maintain accurate records of regulatory deadlines, help compile data and information required for completion of regulatory filings, and help ensure timely submissions
- Assist with the review, processing, and management of various fund products and portfolio related legal agreements, NDAs, vendor agreements, and investor communications
- Manage and/or assist with legal and/or compliance projects as necessary
Qualifications:
- Essential Education: Bachelor’s Degree
- You will bring several years of investment adviser/private investment fund compliance experience
- Also desirable would be exposure to paralegal or legal assistant work currently or earlier in your career
Application Process for Senior Compliance Associate:
Qualified professionals are to submit resume to Steve Harrison: steve@conselium.com
Published by Conselium Executive Search, the global leader in compliance search.
