What are the responsibilities and job description for the Compliance Associate position at Arrow Search Partners?
About The Company
Our client is an investment adviser that focuses on investing in Asia Pacific markets. They are hiring a compliance associate to manage and enhance the department and will report to the CCO.
Responsibilities
$80,000-$95,000
Our client is an investment adviser that focuses on investing in Asia Pacific markets. They are hiring a compliance associate to manage and enhance the department and will report to the CCO.
Responsibilities
- Serving as the primary administrator of the Firm’s compliance software – including Eze Compliance, ComplianceALPHA
- Ensure compliance with Code of Ethics requirements including review of employee personal trades and generation and tracking of compliance affirmations
- Perform compliance testing and monitoring in all relevant areas
- Assist in regulatory reporting and filings, such as Form ADV, Form PF, and 13 Filings
- Corporate governance matters, including participating in firm committees and drafting minutes
- Assist with conducting various compliance trainings for the firm
- Maintain Indus’ books and records in compliance with applicable law and the Firm’s document retention policy
- Bachelor’s degree with strong academic performance
- 2-3 years of compliance experience
- Understanding of relevant SEC rules and regulations
- General knowledge of federal and state securities filing requirements
$80,000-$95,000
Salary : $80,000 - $95,000
