What are the responsibilities and job description for the Compliance Associate position at Atlas Search?
The specific responsibilities of the Compliance Associate include, but are not limited to:
- Monitor the day-to-day administration of the RIA’s compliance program.
- Assist the CCO with all dealings with any regulatory agencies.
- Supervise the firm’s day-to-day activities
- Review and approve client marketing, reporting, and correspondence.
- Manage the firm’s annual testing process
- Assist the CCO with all regulatory filings, including Form ADV (all parts) and Securities Exchange Act Section 13 filings.
- Perform reviews of the firm’s remote locations
- Monitor the RIA’s Code of Ethics Platform and compliance with any related requirements.
- Assist in the review of electronic communications.
- Update and maintain all written compliance policies and procedures.
- Work with the CCO to design and implement clear operational, compliance, and supervisory systems.
- Coordinate and conduct periodic continuing education and staff training.
- Any other compliance-related tasks requested by the CCO
Experience working at an RIA is required
Salary : $90,000 - $110,000
