KEY FUNCTIONS / RESPONSIBILITIES:  

• Collaborate on the development, implementation and management of the firm’s compliance function.

• Assist with the firm’s internal annual compliance review.

• Perform reviews of advertising materials.

• Assist on regulatory exams and respond to compliance-related inquiries.

• Perform work related to periodic SEC and FSA filings.

• Assist with monitoring and implementation of guideline compliance.

• Perform duties related to client compliance reporting.

• Participate in the drafting/revising of compliance policies and procedures, including a comprehensive compliance manual.

• Assist with in-house reviews to test compliance policies and procedures.

• Assist with preparation and filing of Form ADV.

• Handle special projects as requested.

 

QUALIFICATIONS - Candidates must have these to be considered:

• An undergraduate degree with a preferred major in business, finance, economics or related field.

• Five or more years of investment advisory compliance experience (fixed income experience preferred). Experience must include monitoring portfolio compliance issues and work related to advertising reviews.

• Familiarity with Bloomberg and proficiency in Microsoft Excel, Word and Outlook.

• Excellent communication and interpersonal skills.

• Strong organizational skills and attention to detail.

• Ability to work well in a fast-paced environment that requires prioritizing, performing with accuracy and meeting tight deadlines.