Compliance Associate
- Employer
- Hamlyn Williams
- Location
- Boston
- Salary
- Competitive
- Closing date
- 6 Jul 2022
View more
- Employer Sector
- Accountancy Practice
- Contract Type
- Permanent
- Hours
- Full Time
- Travel
- None
- Job Type
- Compliance
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We ve partnered with a growing asset management firm looking to add to it s growing compliance department. You will be working directly with the US Chief Compliance Officer in Boston, MA. This a hybrid role requiring 3 days in office.
What you ll be doing:
What you ll be doing:
- Assist in the preparation of annual and quarterly SEC, NFA, and CFTC filings. This includes Form ADV Part 1 & 2, Form 13F, PF, PQR, PR
- Create a data gathering and reporting process for regulatory and internal use.
- Help with the monitoring and enforcement of US trade issue processes from start to finish.
- Assist with annual compliance review and training materials.
- Contribute to day-to=day compliance program actions including monitoring employee trades. Reviewing accounts, gifts, and contributions.
- Help with regulatory requirements and testing using FINRA/ERISA rules.
- Review marketing materials and conduct research on compliance market rules.
- Bachelor s level educated - finance, accounting, economics, or legal studies is preferred
- 1-2 years of regulatory compliance or financial services
- Proficiency in Microsoft Office and experience in VBA, Python, or other coding language is a plus
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