What are the responsibilities and job description for the Compliance Associate position at Kinsley Power Systems?
THE OPPORTUNITYUnder the guidance of the Chief Compliance Officer and Compliance Director, the Compliance Associate is responsible for the coordination, ongoing development and administration of employee reporting, web-based compliance training, and anti-money laundering (AML) and customer due-diligence programs. The Compliance Associate will also participate in the development and implementation of the Firm’s overall compliance program and corporate reporting and maintenance program.RESPONSIBILITIESResponsible for new employee training and reporting requirements, serving as a resource for employees with compliance and ethics questions.Initiate and manage quarterly firm-wide certifications and assist employees to ensure timely completion.Lead Corporate Actions and work with the Legal department to ensure that all deadlines are met.Review employee disclosures and provide quarterly and annual reports to senior management.Work with other departments within the Firm on AML issues and client due diligence.Assist employees with data entry, opening and closing of accounts, stock splits, trade confirmation.Maintain correspondence with brokers concerning employee accounts and data feed maintenance.Ensure that all compliance matters are properly investigated and that appropriate action is taken and documented.Prepare and present timely, accurate and objective reports to senior management as required.Perform other ad hoc responsibilities as assigned.Assist on periodic updates to the Firm’s Compliance Manual, Form ADV and other regulatory filings.MINIMUM QUALIFICATIONSBA / BS degreePreferably 1-2 years of compliance related experience with a registered investment advisor or regulatorAbility to meet deadlines and work well independentlyStrong organizational skills and attention to detailAbility to communicate with employees at all levels of the organizationEQUAL OPPORTUNITY EMPLOYMENTThe firm is committed to the concept and practice of equal employment opportunity and will not discriminate against any employee or applicant on the basis of race, color, religion, age, sex, national origin, sexual orientation, gender identity, disability, or veteran status. It is expected that all employees will follow a similar policy toward their co-workers.#J-18808-Ljbffr
