Job Title:
Compliance Associate
Job Code:
6942
Job Category:
Compliance/Risk/Legal
Job Type:
Permanent
Job Location:
Boston - MA
Date Posted:
Feb 1 2023
Expires On:
Mar 31 2023
Responsibilities:
- Principal global corporate compliance administrator for the Code of Ethics and related policies, including Gifts & Entertainment, Political Contributions, Code of Conduct, and Whistleblower
- Oversee the implementation, maintenance, and annual review of 10-15 compliance policies and procedures on an ongoing basis
- Monitor for regulatory changes and implement revisions to internal policies and procedures as needed to ensure ongoing regulatory compliance
- Oversee the in-person and online Compliance training program
- Coordinate responses to requests from internal business partners
- Support the production of Board reports and any other relevant materials
- Support the efforts of the broader Compliance Team and provide additional tasks and duties as needed
Qualifications:
- Qualified candidates should have 2-4 years of related experience in the financial services industry, preferably within the investment advisory business
- Familiarity with Rule 204A-1 the Investment Advisers Act of 1940 and Rule 17j-1 of the Investment Company Act of 1940 and related regulations (i.e., Code of Ethics requirements)
- Self-starter with excellent communication and relationship skills
- Strong writing, editing, and proofreading skills
- Knowledge working with Microsoft products, including Teams and SharePoint Online
- Comfortable learning new technologies
- Demonstrated ability to prioritize work and manage multiple tasks to meet daily and periodic deadlines
- Positive attitude, professional and mature
- Comfortable working both independently and as part of a team
Required Years of Experience:
2
Additional Info:
For more information contact: Adam Cordeiro (617)-912-2307 |adamc@fanning-boston.com
Salary Range:
70-85k