Compliance Associate

Written By Ingrid Nordskog

Chenery Compliance Group (CCG)

Chenery Compliance Group (CCG) is seeking a Compliance Associate to join a growing team of client-focused, technically versatile, and collaborative compliance professionals.

Chenery Compliance Group is an independent institutional quality boutique that delivers customized regulatory compliance consulting, designated CCO and support CCO services.

AREAS OF RESPONSIBILITY

  • Support a team of Chief Compliance Officer engagement leaders across multiple clients;

  • Assist in all aspects of the Annual 206(4)-7 Review, including information requests, document preparation, testing and protocol development;

  • Prepare regulatory documents such as Form ADV, Form PF, Form 13 filings, policies and procedures, risk assessments, and compliance checklists;

  • Interact with clients on periodic calls and provide support on various regulatory compliance needs;

  • Support in the drafting, approval, distribution, and monitoring of Code of Ethics certifications and pre- approvals;

  • Maintain and track the compliance calendar, project workflows, and various other processes;

  • Continuously enhance internal processes, project workflows, and other procedures;

  • Serve as a key resource in onboarding clients;

  • Other duties as assigned.

REQUIRED SKILLS & EXPERIENCE

The ideal candidate will possess the following experiences and attributes:

  • +5 years of related experience in working with SEC regulated entities;

  • Experience in the investment management industry and familiarity with the Investment Advisers Act of 1940, required;

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

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

  • Ability to promptly escalate breaches in policies/compliance to superiors and/or clients;

  • 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;

  • Bachelor’s degree, required.

Ingrid Nordskog
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