Compliance Associate - Marketing Review
The Haverford Trust Company
Location: Radnor, PA
SUMMARY
The Compliance Team at The Haverford Trust Company is responsible for the development, implementation, and maintenance of the regulatory compliance program for The Haverford Trust Company (“HTC”) and Affiliates, which consists of a bank and trust company, a broker-dealer, and a SEC-registered investment adviser. The Compliance Associate reports to and partners closely with the Chief Compliance Officer of HTC. The primary responsibilities of the Compliance Associate – Marketing Review are to: 1) review advertising and market material; 2) assist in the maintenance and testing of compliance policies, procedures, and processes; 3) assist in the review and analysis of applicable laws and regulations.
REQUIREMENTS
• Normal business hours are Monday through Friday, 8:30AM – 5:30PM EST
• Hybrid work environment with in-office and at-home days to be determined with the team manager.
• May be required to work additional hours as needed to meet expectations.
POSITION RESPONSIBILITIES
Key responsibilities include, but are not limited to, the following:
• Review advertising and marketing material
• Assist in the maintenance of compliance policies, procedures, and processes!
• Monitor and test compliance policies and procedures!
• Conduct agreement and document reviews for account openings
• Assist with the preparation and filing of regulatory filings!
• Assist in coordinating and responding to regulatory examinations and compliance audits!
• Perform administrative tasks as needed.
• Act as a trusted resource for colleagues in other departments
QUALIFICATIONS
Education / Experience
• BA/BS Degree or equivalent experience
• Minimum 2-3 years’ experience marketing/advertising review at a registered investment adviser
• Familiarity with the Investment Advisers Act of 1940
• Familiarity with IARD/CRD system
Skills / Abilities
Teamwork
• demonstrate the ability to maintain a high degree of confidentiality.
• be able to work well within a highly interactive team environment and be a self-starter.
• demonstrate high integrity and dedication to achieving quality and excellence.
• demonstrate a collegial approach within own team and with other cross functional teams.
Communication
• demonstrate excellent communication skills – written and verbal.
• possess exceptional client relationship skills with a strong focus on client service and value additions.
Technical
• highly proficient in Microsoft Office Suite.
• demonstrate the ability to quickly learn new technologies and software programs
Work Product
• demonstrate outstanding follow-up and prioritization.
• continually evaluate and escalate areas of risk.
• compliance with all policies and procedures.
• accurate in compiling data and other materials.
• detail oriented; able to proofread all work accurately and consistently.
• ability to multitask effectively, easily change direction, set, and reset priorities, and meet rapidly changing deadlines in a fast-paced client focused environment with minimal direction.
The Haverford Trust Company shall, in its discretion, modify or adjust the position to meet the company’s changing needs. Additionally, this job description is not a contract and may be adjusted as deemed appropriate at Haverford’s sole discretion.
All team members of Haverford are required to comply with internal procedures as well as applicable federal, state, and self-regulatory organizations including, but not limited to, the Bank Secrecy Act of 1970 and the USA PATRIOT Act.
The Haverford Trust Company is an equal opportunity employer. The Company is committed to providing equal employment opportunities to all applicants. All applicants for employment will be provided equal and fair opportunity without regard to race, color, creed, religion, ancestry, national origin, sex, sexual orientation, age, citizenship, disability, medical condition, marital status, status as a veteran or special disabled veteran, or any other characteristic protected by law.
This position may be subject to Haverford’s Political Contribution Policy. An offer of employment may be contingent upon disclosing to Haverford the details of certain political contributions. Haverford may decline to extend an offer or terminate employment for this role if it determines political contributions made could have an adverse impact on Haverford’s current or future business interests, misrepresentations were made, or for failure to fully disclose applicable political contributions and or fundraising activities.
Interested parties should apply through LinkedIn Recruiter or email resume and cover letter to: James S. Kane, Vice President & Director of Human Resources, jkane@haverfordquality.com.