Regulatory Administrator (Full-Time)

Chenery Compliance Group

Chenery Compliance Group (CCG) is seeking a Regulatory Administrator to join a growing team of client-focused, driven, highly motivated 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

- Review the electronic communications (Email, Social Media, Instant Messaging, etc.) of Registered Investment Adviser clients via an online archiving system;

- Escalate to the Compliance Manager any possible breaches of compliance within the SEC regulatory requirements and/or client policies;

- Diagnose and resolve any issues other team members and/or clients have related to the capture of electronic communications;

- Assist with managing clients’ Code of Ethics program through various compliance software solutions;

- Assist CCG team members in the development of testing procedures related to electronic communications review;

- Serve as a key resource in onboarding clients and the management of the archival system;

- As a quickly growing firm, your opportunities for advancement and growth will be frequent.

REQUIRED SKILLS & EXPERIENCE

The ideal candidate will possess the following experiences and attributes:

- +3 years of related experience in financial compliance or other regulatory services;

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

- Prior experience using electronic communication archival systems preferred;

- Prior experience using Code of Ethics software solutions (BasisCode, Schwab Compliance Technologies, ComplySci, MyComplianceOffice, etc.) preferred;

- Ability to promptly escalate breaches in policies/compliance to superiors;

- Prior experience or strong knowledge in brokerage account statements and transactions review;

- 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;

- Familiarity with the investment management industry and the Investment Advisers Act of 1940, preferred;

- Bachelor’s degree, required.

This position has the ability to work hybrid, or completely remote.