Compliance Associate- Regulatory/Compliance Firm for Investment Managers
ConnectMe Capital,llc is working with a compliance and regulatory consulting firm to find the a Compliance Associate with 1-3 years of experience. Please see below description and requirements.
To be eligible, you need to have at least 1 year of relevant experience as noted below, be a permanent US resident, and have your Bachelors Degree:
Compliance Associate - Regulatory & Compliance Firm
- Do you enjoy the compliance space but want to have a voice at the table and don’t like being a spoke on a wheel? This is the firm for you! Exciting opportunity to join a global regulatory/compliance consulting firm, that is small enough for you to get exposure to everything! Lots of career mobility, as you can be given more responsibility when you are ready for it, and even get promoted if you’ve gotten to that next level; no need to follow a specific schedule like at large firms
- You’ll work as part of a team, with Private Equity and Hedge Funds, Venture Capital firms, Broker/Dealers, Investment Advisors, Crypto and Digital Asset Managers and more! Responsibilities will include preparing agendas, compliance calendars, doing research on regulatory and compliance matters affecting your client’s business, project-based work, developing your knowledge/understanding of SEC /CFTC regulatory obligations, assisting with drafting compliance policies and procedures, regulatory filings, training, testing, and more.
- MUST have had some exposure to SEC and/or CFTC regulatory obligations or registration requirements.
- MUST have 1-3 years compliance experience with an investment advisor, compliance consulting firm, regulatory firm (SEC, FINRA etc) or at a fund administrator (if exposed to regulatory/compliance there such as with FORM PF or CPO-PQR filings)
- MUST have excellent communication skills, both written and verbal
- MUST have a bachelor’s degree
- You love working on a team, have an excellent work ethic, and are able to juggle multiple projects
- This position can be REMOTE or Hybrid depending on your location in the USA