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.