Associate Compliance Officer
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About The Position
Responsible for assisting the CCO and Compliance Officer in managing and overseeing the firm's compliance programs including, drafting, implementing, monitoring and testing compliance policies and procedures; monitoring and testing trade compliance for firm trading; leading specific regulatory reporting processes; communicating and liaising with regulatory authorities; assisting with regulatory examination support; reviewing and editing communications materials; monitoring vendor due diligence; preparing internal and external compliance certifications; monitoring and enforcing employee personal trading under the Code of Ethics; coordinating with and managing outside compliance vendors and service providers; serving as employee reporting and certifications under the Code of Ethics.
