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

 

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