Associate, Compliance

About The Role Compliance Associate to work with and report to the Chief Compliance Officer. In this role, you will assist with the oversight of an SEC-registered investment adviser, with a related FINRA Broker-Dealer. You will also have an opportunity to help develop, implement and drive effective and efficient Compliance processes, while partnering cross-functionally across Willow Wealth. In addition to providing support as it relates to the regulatory obligations of our business partners, you will continue to build compliance expertise by developing and delivering training and communications on compliance policies and procedures. The ideal candidate will have a strong work ethic, good judgment, critical thinking skills, and the ability to communicate effectively. Key Responsibilities Review and approve marketing collateral and communications with the public to ensure all marketing materials are in compliance with SEC’s Marketing Rule and FINRA Rule 2210 Assist with implementing and monitoring adherence to the firm’s Code of Ethics and related procedures Manage quarterly and annual certification processes for access persons and registered personnel Track and monitor outside business activities, securities accounts, restricted trading list, gifts and entertainment, and political contribution pre-clearance requests Assist with managing the firm’s regulatory filing obligations, including the annual ADV update, Form PF, and Form D filings Assist the broker-dealer personnel in managing the licensing process, including the Broker-Dealer’s Firm Gateway and CRD filings (e.g. Form U4s, Form U5s, Form BD, and Form BR) Help develop and deliver training and communications on compliance policies and procedures Assist in maintaining all required books, records, manuals and correspondence, and managing any regulatory inquiries and exams Qualifications 4-6 years experience as a compliance professional at a registered investment adviser to private funds and/or registered funds or a FINRA registered broker-dealer Experience reviewing marketing collateral for compliance with the Marketing Rule of the Advisers Act Comfortable with ambiguity and capable of solving complex problems independently in a fast-paced environment Demonstrated success at partnering, prioritizing, and balancing needs cross-functionally Excellent writing, communication, project management, and organizational skills Preferred Qualifications Familiarity with both the Advisers Act and with FINRA rules and regulations and the Investment Company Act Series 7 and Series 24 Licenses (or a willingness to obtain licenses) Experience with regulatory exams or responding to regulatory inquiries Familiarity with Bank Secrecy Act and anti-money laundering obligations ACA ComplianceAlpha experience Benefits Competitive compensation package, including equity Health, dental & vision coverage with FSA/HSA options Unlimited PTO 401k match Commuter benefitLife insurance Wellness stipend This is a New York-based role. The base salary range for this position is USD 90,000 to 120,000 annually, depending on experience and qualifications. This role is eligible for equity compensation as part of the total compensation package. #J-18808-Ljbffr Willow Wealth