Senior Compliance Associate

Our client is seeking a Senior Compliance Associate to join a dynamic team. This role presents an exciting opportunity to develop, enhance, and implement internal compliance procedures, coordinate, and support the performance of day-to-day compliance functions of investment adviser clients. The successful candidate will be responsible for ensuring that the research, requisite administrative matters, and overall organization of a client’s Compliance Program are completed.

Key responsibilities:
As a Senior Compliance Associate, you will play a pivotal role in developing, enhancing, and implementing internal compliance procedures. You will coordinate and support the performance of day-to-day compliance functions for our investment adviser clients. Your responsibilities will include organizing client agendas, maintaining compliance calendars, preparing project timelines, drafting compliance policies, conducting forensic testing, reviewing electronic communications, drafting compliance training materials, among others. Your ability to stay abreast with updates in the regulatory environment will be crucial in this role.

• Develop and maintain client meeting agendas and compliance calendars
• Learn of any business or investment strategy developments of client and research regulatory and compliance obligations that may be impacted
• Prepare project timelines for both the company and client in the execution of the project
• Draft compliance policies and procedures based on relevant securities laws, rules and regulation
• Conduct forensic testing of Compliance Program to ensure client’s adherence to policies and procedures
• Draft routine and targeted compliance review memoranda and review reports evidencing work on behalf of client
• Review sample set of client electronic communications based on risk factors associated with client’s investment advisory program using key word searches
• Draft materials for client compliance training based on client Compliance Program and updated rules and regulations

Key requirements:
The ideal candidate for the Senior Compliance Associate position brings a wealth of experience in regulatory compliance consulting or working with an investment adviser. You possess excellent research, writing, and communication skills which are essential for this role. Your knowledge of SEC registration requirements for investment advisers sets you apart from others. You have experience with Form ADV Parts 1, 2A and 2B as well as drafting compliance policies and procedures. A Bachelor's degree in Business, preferably with a concentration in Finance, Economics, or Accounting is required.

• Bachelor’s degree - Business major preferred, with concentration in Finance, Economics, or Accounting a plus
• 1-5 years compliance experience in regulatory compliance consulting or with an investment adviser
• Excellent research, writing, and communication skills
• Knowledge of SEC registration requirements for investment advisers
• Experience with the Form ADV Parts 1, 2A and 2B
• Experience with drafting compliance policies and procedures

What's next:

If interested in this position, please contact Daniela Garcia at +1 332 205 3839 or Daniela.Garcia@robertwalters.com