Compliance Associate

Chandler Asset Management Inc.

Location: San Diego

JOB TITLE: Compliance Associate

REPORTS TO: Chief Compliance Officer

DEPARTMENT: Compliance

Please apply through: https://recruiting.paylocity.com/recruiting/jobs/Details/1788690/Chandler-Asset-Management-Inc/Compliance-Associate

Who are We?

We’re Chandler Asset Management, an employee-owned and independent financial services company; our concentration centers on managing taxable fixed income portfolios that are aligned with our institutional clients’ needs. We manage over $30 billion in assets and believe in the philosophy of creating value and managing risk with active management, using robust quantitative analysis and qualitative insights.

What do we value?

Great People with Great Values. Integrity, service, excellence, education and teamwork are the values that define the culture at Chandler Asset Management.

In addition to our core values, our culture is defined by 27 fundamental behaviors that describe our culture, set us apart and drive our success. From the beginning, we’ve always wanted to deliver total piece of mind through extraordinary performance. We believe our extraordinary performance and culture are driven by our dedicated and committed people.

What’s the job all about?

The Compliance Associate position reports directly to the Chief Compliance Officer and is responsible for assisting with the day-to-day operations of the Compliance and Ethics programs at Chandler Asset Management. The Compliance Associate will assist the Chief Compliance Officer in providing guidance on ethics and compliance matters and directly manages various functions such as monitoring to ensuring compliance with the Investment Advisers Act of 1940 as well as internal Compliance and Ethics policies and procedures.

The essential functions of the role include:

· Assist with monitoring compliance with client investment policies/guidelines, regulations, internal policies and procedures and the firm’s strategy objectives using Bloomberg AIM.

· Collaborate with the Portfolio Management team to review client investment policies.

· Assist with the coding of investment restrictions into Bloomberg AIM

· Conduct regular reviews, periodic tests, and forensic assessments of our current processes, policies, and procedures to identify potential compliance risks and vulnerabilities.

· Assist in resolving compliance issues or violations, and develop or enhance compliance controls to prevent, detect, or mitigate risks or violations, while improving program efficiency.

· Support the annual risk assessment process.

· Aid in drafting, reviewing, and implementing compliance policies, procedures, and new initiatives.

· Collect and preliminarily review required regulatory employee reports.

· Assist with oversight of the firm’s record retention process and requirements

· Participate in the review process of marketing/advertising material and RFPs.

· Assist with regulatory filings

· Prepare reports and documents for regulatory exams and audits.

· Collaborate with compliance consultants and/or outside counsel on projects or initiatives.

· Contribute to the development and implementation of efficient compliance processes and workflows as our business grows and evolves.

· Stay updated on the Investment Adviser's Act of 1940, industry-related rules, and regulations.

· Provide general support to the Chief Compliance Officer and perform other duties/projects as assigned

This Team Member will have:

· Bachelor’s degree required and a minimum of 1-3 years of investment advisory-related industry experience preferred.

· Experience with Bloomberg AIM and SQL is preferred

· Exceptional verbal and written communication skills required.

· Ability to interact effectively with staff and senior management

· Demonstrate sound judgment and decision making ability

· Strong prioritization, organizational, relationship management, and interpersonal skills, with the ability to effectively manage competing deadlines and expectations

· Must have proven analytical and problem-solving skills with an ability to identify process improvement opportunities

· Proactive, self-motivated, reliable and responsive to staff and senior management

· Resourceful, strong research skills – able to thoroughly research and accurately summarize compliance related topics

· Possess a strong commitment to accuracy and attention to detail

· Commitment to continuing education in order to stay abreast of the changing regulatory environment

· Strong Microsoft Excel and Word skills. Be able to manage/analyze large amounts of data from multiple sources

What we can offer you!

· Medical, Dental & Vision

· Life & AD&D

· Short-Term & Long-Term Disability

· Accident & Critical Illness

· Employee Assistance Program

· Education Assistance

· Flexible Spending Accounts

· PTO

· Paid Holidays

· Fun Company Events

Ready to join our team?!

Please note before submitting an application: as a company, we take hiring very seriously. Although we are unable to follow-up with each and every applicant, we do our best to run a thorough process for candidates with whom we identify a potential fit. Chandler Asset Management provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, sex, national origin, age, disability, genetics, sexual orientation, gender identity or gender expression.

Salary Description

55,000-75,000