Regulatory Administrator

Written By Ingrid Nordskog

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

  • As a member of the Shared Services Team, this role is responsible for the administration of the Code of Ethics program for registered investment advisers via MyComplianceOffice (MCO);

  • Establish and monitor electronic brokerage feeds into MCO by coordinating with brokerages, client employees and the engagement team;

  • Monitor personal trading activity for trading violations pursuant to the Code of Ethics for each client;

  • Escalate any possible breaches of compliance within client policies to the engagement team;

  • Diagnose and resolve any issues other team members and/or clients have related to the capture of personal trading activity;

  • Distribute and monitor annual and quarterly questionnaires, and pre-clearance forms such as outside business activities, gifts & entertainment, and political contributions;

  • Serve as a key resource in onboarding clients and the management of the MCO 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:

  • 0-3 years of related experience in financial compliance or other regulatory services, preferred;

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

  • Prior experience using Code of Ethics software solutions (Orion-BasisCode and/or 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.

Who We Are

  • CCG is an independent institutional quality boutique that delivers customized regulatory compliance consulting, designated CCO and support CCO services.

  • CCG was founded with the sole purpose to help protect our clients from regulatory risk, enabling them to focus on investing and business building.

  • We power cultures of compliance.

Who We Serve

We design and implement tailored, integrated, and forward-looking compliance programs for select investment firms, including:

  • Private Wealth Advisers

  • Institutional Investment Advisers

  • Registered Fund Managers

  • Private Fund Managers

To apply please email careers@chenerycompliance.com.

Ingrid Nordskog
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