Compliance Specialist

Job Description

Job Description

GENERAL JOB DESCRIPTION

This position will work with the Chief Compliance Officer (CCO) and the rest of the Compliance Team to support activities within the compliance department. The activities will support the comprehensive compliance program and will vary.

 

MAJOR DUTIES AND RESPONSIBILITIES

• Co-administer the Code of Ethics by monitoring employee trading, reviewing personal accounts, and managing certifications.
• Review compliance reports, findings, and potential violations.
• Support the internal office exam program by preparing materials, reviewing documents, and traveling to office locations as needed.
• Provide guidance on gifts and entertainment, political contributions, and outside business activities.
• Conduct surveillance and forensic testing, including trading reviews, billing checks, and assessments of best execution practices.
• Administer the off-channel and personal device communications reviews, escalating exceptions, as necessary.
• Support compliance applications for monitoring email, social media, and other communications. Provide QA metrics and assist with annual certification.
• Serve as co-administrator for compliance platforms such as MyComplianceOffice (MCO).
• Provide training to new employees, administer annual risk and compliance training, maintain training records, and report any violations.
• Support the Regulation S-ID Identity Theft Prevention Program.
• Stay current on regulatory changes and implement required updates across the firm.
• Collaborate with departments such as Legal, Marketing, and Operations.
• Assist in preparing and updating policies and procedures.
• Assist in preparing RFP responses and compliance questionnaires for client due diligence.
• Participate in key projects and support process improvements.
• Assist with special projects assigned to the Compliance Department.
• Perform other duties as needed to support the compliance program.

 

EXPERIENCE/CREDENTIALS

• A minimum of 3+ years of experience in administration, operations, or compliance, preferably within an SEC registered investment adviser. 
• Experience with systems such as MCO, Smarsh, and Microsoft Office applications.
• Significant experience using Artificial Intelligence agents.

COMPETENCIES

• Ability to multitask, prioritize, and meet deadlines in a fast-paced environment.
• Team-oriented with a proactive and professional approach.
• Ability to understand regulations and apply them effectively in a business context.
• Skilled at using and adjusting to different software technologies.
• Strong analytical, interpersonal, verbal, and written communication skills.
• Commitment to maintaining client confidentiality, safeguarding data, and upholding high ethical standards.
• The capability to extract and analyze data from different systems.
• Professional demeanor, strong work ethic, and high personal integrity.