Associate, Compliance

The role

The Associate of Compliance will manage the firm's Code of Ethics and compliance training programs. This role involves monitoring employee activities, assisting with regulatory filings, and supporting compliance risk assessments.

What you will do

• Approve employee activities relating to the firm's Code of Ethics policies
• Monitoring and surveillance of employee activities, including electronic communications
• Assist with regulatory filings and maintain related procedures
• Support the ongoing maintenance of the firm's compliance risk assessment
• Perform surveillance tasks to verify the firm's compliance with policies and procedures
• Manage audit and testing reviews, working with business units to resolve findings and remediation items
• Provide compliance training and administer the firm's compliance training program
• Provide compliance oversight of the firm's client and investor on-boarding activities
• Manage compliance tasks relating to the firm's Vendor Management, Information Security, Cybersecurity and Books and Records programs
• Create and maintain reporting of Compliance activities provided to senior management

Required qualifications

• 3 - 5 years of experience working in a compliance role at a financial services firm
• Familiarity with both wealth management and private fund adviser
• Knowledge of the SEC's Investment Advisers Act of 1940
• Experience supporting a compliance program for a private fund investment adviser
• Managed Code of Ethics policies and related monitoring and approval activities for an investment adviser
• Experience with regulatory filings such as 13F, ADV and Form PF
• Experience developing processes and operationalizing compliance functions
• Willing to learn and leverage technology tools
• Well-organized and pay attention to the details
• Communicate effectively and build strong relationships with a broad range of stakeholders
• Discreet in handling sensitive and confidential information
• Bachelor's degree with 5+ years of professional work experience

Nice to have

• experience with and understanding of affiliated broker/dealer activities

Benefits

• Medical, dental & vision insurance – 100% of premium covered for employees
• 401k participation with employer contribution
• Generous paid time off
• Commuter benefits program
• Fitness Reimbursement
• Annual Professional Development and Mindfulness Stipend

About the company

Jordan Park provides investment management and financial advice to a distinct community of individuals, families, and institutions. The firm is an SEC-registered investment adviser (RIA).