Compliance Associate

Written By Ingrid Nordskog

Chenery Compliance Group

Location: This position has the ability to work hybrid or remote.

Chenery Compliance Group (CCG) is seeking a Compliance Associate to join a growing team of client-focused, technically versatile, and collaborative compliance professionals.

CCG is an independent institutional quality boutique that provides regulatory compliance outsource solutions and Chief Compliance Officer services for institutional and wealth investment managers, private fund managers and registered funds.

AREAS OF RESPONSIBILITY

  • Support a team of Chief Compliance Officer engagement leaders across multiple clients;

  • Assist in all aspects of the Annual 206(4)-7 Review, including information requests, document preparation, testing and protocol development;

  • Prepare regulatory documents such as Form ADV, Form PF, Form 13 filings, policies and procedures, risk assessments, and compliance checklists;

  • Interact with clients on periodic calls and provide support on various regulatory compliance needs;

  • Support in the drafting, approval, distribution, and monitoring of Code of Ethics certifications and pre-approvals;

  • Maintain and track the compliance calendar, project workflows, and various other processes;

  • Continuously enhance internal processes, project workflows, and other procedures;

  • Serve as a key resource in onboarding clients;

  • Other duties as assigned.

REQUIRED SKILLS & EXPERIENCE

The ideal candidate will possess the following experiences and attributes:

  • +3 years of related experience in working with SEC regulated entities;

  • Experience in the investment management industry and familiarity with the Investment Advisers Act of 1940, required;

  • Prior experience using Code of Ethics software solutions (Orion-BasisCode, MyComplianceOffice, ComplySci, etc.) preferred;

  • Ability to work independently across multiple clients and tasks simultaneously;

  • Ability to promptly escalate breaches in policies/compliance to superiors and/or clients;

  • Excellent time management and organization;

  • Ability to work well in a fast-paced, small-team environment;

  • Ability to work independently, multi-task and prioritize effectively;

  • Strong oral and written communication skills;

  • Highly motivated and goal oriented, volunteers for and shows initiative on tasks and projects;

  • Bachelor’s degree, required.

This position has the ability to work hybrid or remote.

Who We Are

  • Chenery Compliance Group is an independent institutional quality boutique that delivers customized regulatory compliance consulting, designated CCO and support CCO services.

  • Chenery Compliance was founded with the sole purpose to help protect our clients from regulatory risk, enabling them to focus on investing and business building.

  • We power cultures of compliance.

Who We Serve

We design and implement tailored, integrated, and forward-looking compliance programs for select investment firms, including:

  • Private Wealth Advisers

  • Institutional Investment Advisers

  • Registered Fund Managers

  • Private Fund Managers

  • Commodity Trading Advisers

To apply, please email your resume to careers@chenerycompliance.com.

Ingrid Nordskog
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