Overview of Position
The Compliance Associate will partner with Foreside’s IA Consultants in the delivery of expert advice to investment adviser clients regarding SEC and/or state regulatory requirements and regulatory best practices.
This position can work in any of our Foreside offices, or remotely.
Compensation for the successful individual will be determined by a variety of factors to include previous experience, education and credentials/licenses.
- In conjunction with IA Consultants, delivers compliance services to investment adviser clients consistent with company guidelines/processes and regulatory best practices
- Prepares regulatory documents such as Form ADV, Form PF and Form 13 filings, and written policies and procedures, risk assessments and compliance checklists and calendars
- Researches SEC and/or state rules and regulations and relays information to pertinent parties
- Corresponds with securities regulators regarding exams or regulatory issues
- Maintains firm records (calendars, project workflows and status updates) and time reporting
- Interacts with clients on compliance questions and other needs
- Processes firm-level IARD/CRD and/or EDGAR regulatory filings
- Participates in ongoing enhancements of internal workflow and processes
- Represents company at conferences and external meetings as requested
- Conducts self in a professional manner
- Responsible for reporting to senior management, including any potential or perceived violations of applicable laws, rules or Company policies
- Other tasks and projects as assigned
Qualifications (Personal, Educational, Experience)
- 3-6 years of relevant experience, including consulting, RIA compliance, or other financial services compliance experience
- Bachelor’s degree, preferably in a related field
- Experience with IARD/CRD systems preferred
- Strong knowledge of the investment management industry and related securities laws, especially the Investment Advisers Act of 1940.
- Strong relationship management skills
- Understanding of web-based technology applications and willingness to provide input in enhancements and new solutions
- Ability to work both independently and as part of a team
- Customer-focused attitude
- Time management and organization skills with a strong attention to detail
- Strong written communication and oral communication skills
PHYSICAL DEMANDS and OTHER REQUIREMENTS:
Sit: Total hours/day 6.5 Hours at one time 2.0
Stand: Total hours/day 1.0 Hours at one time 0.5
Walk: Total hours/day 0.5 Hours at one time 0.5
This position requires strong organizational skills, the use of a computer and other common office equipment throughout the day, and the ability to maintain mental focus.
40 hours per week with ability to work additional hours as necessary to meet client needs.
Foreside Financial Group, LLC provides customized solutions to the investment management industry. Our solutions include fund, broker-dealer and adviser compliance services, distribution consulting, legal underwriting, FINRA licensing to U.S. and non-U.S. sponsors of closed-end, open-end, exchange traded funds and private placements as well as retail and institution broker-dealers and investment management firms.
Foreside’s cost-effective, personalized solutions allow our clients to focus on asset management without sacrificing distribution and compliance best practices.
|Job Category||IA and BD Consulting|