What are the responsibilities and job description for the Compliance Associate position at Social Capital Resources?
Top-Tier Investment Manager in San Francisco is looking for a permanent Compliance Associate!
Responsibilities :
- Interface with the compliance team, management, operations, or legal, as appropriate, to communicate, coordinate and resolve issues and respond to requests
- Counsel business associates on regulatory and compliance requirements
- Coordinate with the firm’s outside service providers to ensure regulatory filings are made timely and accurately.
- Update and file all required regulatory filings including, but not limited to ADVs and other periodic filings
- Update and amend Compliance Manual, Code of Ethics and other compliance policies and procedures.
- Conduct reviews and prepare reports on the investment adviser’s brokerage practices and best execution.
- Perform Annual Compliance Review, Risk Assessment Review, Employee Compliance Training and Marketing Materials Review
- Engage in special projects, initiatives, and other activities of an ad hoc nature.
Qualifications :
