Associate, Compliance

The Compliance team is looking to add an Associate to their team in Darien, CT or Philadelphia, PA.  The opportunity is responsible for interpreting complex regulatory requirements, implementing monitoring frameworks, and advising business lines to mitigate legal, operational and reputational risk, and ensure that daily operations align with applicable federal, state, and international standards.

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
• Draft, update, and maintain comprehensive compliance policies and written supervisory procedures (WSPs) to reflect evolving rules and industry best practices.
• Coordinate responses t