Compliance Associate
Leeward Investments, LLC
Location: Hybrid role w/ office located in downtown Boston
Office hours are 8:30-4:30.
Leeward Investments, LLC, a SEC registered investment adviser based in Boston, Massachusetts is looking for a Compliance Associate. Under the supervision of the Chief Compliance Officer this individual will assist with developing, implementing, and enforcing a set of compliance policies and procedures designed to assure that the firm’s day-to-day business activities are conducted in compliance with the Investment Advisers Act of 1940 and the internal policies and procedures applicable to the firm’s investment advisory business. The ideal candidate will be able to successfully balance independent self-motivation within a collaborative team environment.
Responsibilities:
• Work collaboratively with the firm’s Chief Compliance Officer and Senior Management
• Assist with monitoring and completing required regulatory filings
• Review daily compliance reports and research issues
• Assist in coding client investment guidelines/restrictions into firm’s compliance system
• Perform compliance policies and procedures testing
• Coordinate monthly and quarterly compliance reports and certifications for clients
• Aid with performing risk assessments and compliance reviews
• Help with completing 15(c) board renewal documentation for sub-advised mutual funds
• Monitor firm’s Code of Ethics requirements, reporting and approval of personal trades
• Assist with review and approval of investment adviser marketing materials
• Review mutual fund prospectus updates and due-diligence questionnaires
Qualifications:
• At least 3 years’ experience in a compliance role with a financial services firm
• Bachelor’s Degree
• Strong verbal skills and ability to deal with clients, management & support staff
• Excellent organizational, prioritization and time management skills
• Careful attention to detail and deadlines
• Must be a proactive team player, with the ability to get along with others
• Must have a positive, hands-on, "can do" attitude
• Working knowledge of Microsoft office suite (Word, PowerPoint, Outlook, Teams) and ability to learn various operating
systems of the firm and its vendors
• Experience with EZE Compliance/ComplySci or similar compliance systems are a plus
• An understanding of the Investment Advisers Act and/or the Investment Company Act would also be a plus