Sr. Associate, Compliance

Sr. Associate, Compliance

The Compliance team is looking to add a Sr. Associate to their team in Darien, CT or Philadelphia, PA. This role offers a high degree of visibility and opportunity for advancement.

The successful candidate is expected to:

• Assist in supervising/analyzing the firm's compliance program and advocating for a strong culture of compliance with all employees
• Maintain firm's Compliance Manual and perform annual compliance assessment
• Monitor employee's compliance with firm's Code of Ethics, including personal trading policies
• Aid in regulatory filings, such as Form PF, 13F, 13H, 13G, ADV, etc.
• Ensure compliance in regulatory matters throughout the business development and investor relations processes
• Maintain up-to-date knowledge of industry best practices to further develop effective compliance policies and procedures
• Review contracts, NDA's, vendor agreements
• Monitor cybersecurity of the firm, including penetration/vulnerability testing, disaster recovery testing and mock-phishing exercises
• Coordinate firm-wide compliance training, sexual harassment training and cybersecurity training

Qualifications:

• The ideal candidate will have at least 4 years of experience working at an SEC-registered investment advisor and/or a compliance advisory firm
• The candidate must be proactive, a self-starter and possess strong verbal and written communication skills
• Ability to write policies and prepare footnote/compliance disclosures
• Must be comfortable wearing several hats and juggling diverse requests
• Ability to comfortably handle pressures and deadlines of a high-growth, fast-paced and demanding environment
• Knowledge of MNPI rules and expert network monitoring is strongly preferred
• Knowledge of SEC private fund requirements
• Bachelor's degree required
• FINRA licenses Series 7 & Series 24 are required
• Exceptional written and verbal communication skills
• Proficiency in Microsoft 365 Word, Excel, and PowerPoint
• Strong analytical, strategic, and problem-solving skills
• Impeccable attention to detail
• Ability to work under time pressure
• Ability to interface with multiple systems to acquire needed information
• Confidence to interact with all levels of management, both internally and external

Future Standard is a global alternative asset manager serving institutional and private wealth clients, investing across private equity, credit, real estate and infrastructure. With a 30+ year track record of value creation and $94 billion in assets under management, we back the business owners and financial sponsors that drive growth and innovation across the middle market, transforming untapped potential into durable value.

Future Standard is an Equal Opportunity Employer.

Future Standard does not accept unsolicited resumes from recruiters or search firms. Any resume or referral submitted in the absence of a signed agreement is property of Future Standard and no fee will be paid.