Meeting challenges head-on with the highest level of integrity and effort is a shared trait within the Compliance
and Risk teams and is expected of all team members. These personality traits are particularly important due to the critical
nature and sensitivity of the department.
> Support our Compliance, Risk and Legal department as it relates to projects, assessments and areas requiring subject
matter expertise such as interpreting regulatory compliance statutes and analyzing their impact on business practices
> Evaluate and challenge internal policies, procedures and practices to ensure appropriate execution of initiatives within
and across business verticals and identified areas of risk to ensure compliance with the latest federal and state laws and
regulations
> Support the revision and preparation of new and updated Compliance or Risk initiatives and assist in their dissemination
and implementation
> Provide guidance and create training initiatives for internal and/or external Firm partners regarding their role in
mitigating Compliance, Risk and Legal issues
> Maintain the firm’s compliance and reporting system, evaluate business activities, review website and new product
offerings, manage vendor certifications, assist with RFPs/DDQs, various support to mutual funds and corporate
governance
> Additional support on special projects and other tasks as deemed necessary
Requirements
Minimum 3-years of relevant compliance, risk or internal audit experience with working knowledge of legal documents
and contracts
> Experience in investment (asset management, broker-dealer or private fund), risk or legal industries preferred
> FINRA securities licensing and legal or advanced degree preferred
> High ethical standards and ability to maintain confidentiality
> Keen attention to detail and accuracy with accountability, intuition, confidence and initiative
> High-level of analytical and critical thinking abilities, including ability to multi-task and remain organized and focused in a
fast-paced environment
> Team-oriented with effective interpersonal skills including ability to articulate complex thoughts to a diverse audience of
non-subject matter experts
> Professional appearance and demeanor
Benefits
A competitive salary and excellent benefit package with a culture of teamwork and recognition.