Compliance Associate

Adviser Compliance Consulting Inc.

Location: Southern CA

The Compliance Associate will support the firm’s compliance function, working closely with the General Counsel/CCO and Compliance Officer, as well as the firm’s Legal department.

Responsibilities include, but are not limited to:

  • Charles River

 Review compliance end-of-day alerts utilizing concentration reports and internal reporting systems to research and resolve issues

 Review month-end portfolio holdings through Charles River for guideline compliance across all accounts

 Maintain rule library and manage client restricted lists

 Review new securities and Rule 144A transactions for account eligibility

  • Account Setup and Maintenance

 Maintain New and Terminated Account checklists

 Prepare client investment guideline checklists for new client accounts as well as process client amendments

 Input client guidelines into Charles River

  • Certificate/Questionnaire/Ad Hoc Deliverables

 Complete or assist with monthly, quarterly, and annual compliance deliverables for client accounts

 Assist with compliance-related queries and resolutions

  • Annual Testing

 Support annual testing of written policies and procedures under Advisers Act Rule 206(4)-7

  • Code of Ethics

 In connection with MyComplianceOffice, assist with personal trading and preclearance oversight processes

Skills and Abilities:

  • Experience with Charles River is required.

  • Minimum of 3-4 years of experience in related financial field.

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Compliance Analyst

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Senior Compliance Analyst - Employee Ethics and Conduct