What are the responsibilities and job description for the Compliance Associate position at Angove Partners?
Angove Partners are currently working with specialist regulatory compliance consulting firm for investment managers, hedge funds, private equity firms, and other financial institutions. They are seeking a 'Senior Compliance Associate' to work in their New York Office.
About this role
This is an opportunity to work with the Compliance team, and work with experienced senior client team members
Key responsibilities:
- Registration of clients with the SEC, and implementation of client’s Compliance Program.
- Draft compliance policies and procedures based on the Investment Advisers Act of 1940, and other requisite securities laws, rules and regulations.
- Conduct forensic tests to ensure compliance with policies and procedures.
- Draft compliance review memos and reports for client engagements.
- Review client electronic communications using risk-based keyword searches.
- Review client marketing materials to ensure compliance with the Advisers Act.
- Draft and submit regulatory filings, including Form ADV, Form PF and Form CRS.
- Draft materials for client compliance training based on client Compliance Program and updated rules and regulation's.
- Create and update client meeting agendas and compliance calendars based on their program. Stay informed on client business changes and assess regulatory impacts. Develop a project timeline for both the firm and client.
- Stay updated on regulatory obligations for financial firms (investment advisers, broker-dealers, private equity, hedge funds, crypto, and venture capital) and provide tailored compliance guidance.
What you bring:
- 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.
- Ability to work in a high-performance culture while managing multiple projects simultaneously.
