Compliance Officer

Adherence

Location: Remote

We are a regulatory compliance consulting firm to various financial services firms (registered investment advisers including hedge funds and private equity firms, Finra broker-dealers, and NFA members). We act as our clients’ compliance staff.

We are looking for a full time person to handle certain day to day tasks for our firm and its clients including

• Performing email reviews (generally using either global relay or Smarsh)

• Managing Code of Ethics monitoring for our clients which is typically done via electronic compliance monitoring system (which frequently use either ComplySci or MyComplianceOffice (mco))

• Assisting with regulatory filings

• Keeping track of certain compliance tasks performed by our firm for its clients

This position is ideal for a person with some background in compliance and/or Compliance technology systems - and could potentially be a track to ultimately becoming a junior compliance officer - for the right candidate.

Candidates Should be highly organized and computer literate. Hands-on experience in PowerPoint and Excel is a plus.

Job can be 100% remote - with flexible hours.

Candidates should submit resumes with cover letters highlighting their experience.