Compliance Associate
New York, New York • $80,000-$95,000
About the Company:
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
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