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Compliance Associate - Investment Firm
Robert Half - US • New York, NY 10261 • Posted 1 day ago
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Hybrid • Full-time • $100,000-$130,000/yr • Mid Level
Job Highlights
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The Compliance Associate at Robert Half - US will be responsible for preparing regulatory filings primarily in the US, UK, and HK, developing and implementing policies and procedures in compliance with various regulatory acts and rules, collaborating with the CCO, and ensuring adherence to compliance policies. This role requires a strong understanding of the regulatory environment, including the latest changes and trends, and involves managing electronic communications, reviewing marketing materials, and conducting training on compliance policies.
Responsibilities
- Prepare regulatory filings primarily in the US, and also UK and HK
- Partner closely with the CCO, in developing and implementing policies and procedures for a US registered investment adviser and UK/HK affiliates
- Collaborate with compliance staff to support the firm’s business units, designing and reviewing automated compliance monitoring reports
- Ensure firm and employee adherence to compliance policies
- Assist in the 206(4)-7 annual review and amendments to Form ADV and other applicable regulatory reporting requirements
- Managing and monitoring electronic communications in compliance with regulatory requirements
- Assist in the review of standard materials, including advertising, sales literature, correspondence, and RFP/RFI/DDQs
- Staying up-to-date with regulatory changes, updating CCO on suggested adjustments to business practices
- Develop and conduct training and education to staff relating to policies and procedures
- Work on long-term projects to maintain the firm’s high compliance standards with new and existing regulations
Qualifications
Required
- 2+ years’ Investment Compliance experience at an RIA, Asset Manager, Hedge Fund or Compliance Consultancy firm
- Knowledge of international regulations such as the FCA (United Kingdom), SFC (Hong Kong) and 1940 Act/SEC (United States)
- Proven track record in preparing and submitting regulatory reports
- Proficiency with Google Suite and Microsoft Office
- High level of integrity and discretion in handling confidential information
- Bachelor Degree or higher
Preferred
- Knowledge of ComplySci system
Full Job Description
Responsibilities:
- Prepare regulatory filings primarily in the US, and also UK and HK
- Partner closely with the CCO, in developing and implementing policies and procedures for a US registered investment adviser and UK/HK affiliates, with a specific emphasis on the Investment Advisers Act, the Investment Company Act, FCA (UK) and SFC (HK) and related rules and regulations
- Collaborate with compliance staff to support the firm’s business units, designing and reviewing automated compliance monitoring reports, and ensuring firm and employee adherence to compliance policies
- Assist in the 206(4)-7 annual review and amendments to Form ADV and other applicable regulatory reporting requirements with the SEC, SFC and FCA
- Managing and monitoring electronic communications in compliance with regulatory requirements
- Assist in the review of standard materials, including advertising, sales literature, correspondence, and RFP/RFI/DDQs
- Staying up-to-date with regulatory changes, updating CCO on suggested adjustments to business practices
- Strong understanding of the regulatory environment, including the latest changes and trends
- Help develop and conduct training and education to staff relating to policies and procedures and any amendments
- Work on long-term projects to maintain the firm’s high compliance standards with new and existing regulations
Qualifications:
- 2+ years’ Investment Compliance experience at an RIA, Asset Manager, Hedge Fund or Compliance Consultancy firm
- Knowledge of international regulations such as the FCA (United Kingdom), SFC (Hong Kong) and 1940 Act/SEC (United States)
- Proven track record in preparing and submitting regulatory reports
- Knowledge of ComplySci system is advantageous
- Proficiency with Google Suite (especially Gmail, Calendar, GDocs, and GSheets) and Microsoft Office (Word, Excel, PP)
- High level of integrity and discretion in handling confidential information
- Bachelor Degree or higher
The Compliance Associate role requires 3 days per week in the midtown Manhattan office, so please only apply if you are able to travel to this location, have relevant experience for the role and are eligible to work in the United States. The salary is flexible dependent on experience, the range is $100-130k base plus bonus and great benefits. If your profile matches the above criteria, please email me Trishan.Khareghat@roberthalf.com
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