What are the responsibilities and job description for the Compliance Associate - Alternative Investments position at Robert Half?
Robert Half Financial Services are hiring for a Compliance Associate role for a global Alternative Investment firm located in midtown Manhattan. Our client requires 3 years Investment Compliance experience at the SEC, an asset manager, compliance consultancy firm or investment advisor/wealth manager. The candidate must have Compliance Testing experience relating to SEC, FINRA and CFTC Regulations. The role requires 3 days per week in the midtown Manhattan office.Reporting to the Head of Core Compliance/Senior Counsel, the role covers the whole compliance program including monitoring/testing, regulatory compliance/risk (SEC, FINRA, CFTC), and employee compliance/personal trading. The role interacts with in-house legal, investment professionals and external compliance advisors.ResponsibilitiesUtilize the firm’s risk assessment to develop an annual compliance testing plan.Review firm policies, procedures, records, and operations adhering to SEC, FINRA and CFTC Regulations.Define test step objectives and follow conventional testing methodology.Document testing and findings in a clear and concise manner and maintain work papers that describe the work and analysis conducted.Develop action plans that address root cause and obtain consensus on corrective actions required.Assist the firm with managing regulatory risks through the development, planning and execution of the compliance program.Assist in the execution of the compliance program, including (1) monitoring and testing, (2) supporting the employee compliance system (personal trading, outside business activity, gifts and entertainment, etc.). (3) ad hoc compliance related projects.Maintain system of employees and their personal trading accounts.Electronic linking of employee brokerage accounts and monitoring of accounts that require paper statements.Maintain restricted list and work with investment professionals to identify and remove stale entries.Assist with quarterly attestations, including personal trading.
Salary : $110,000 - $140,000
