Compliance Associate Key Responsibilities:
- Stay abreast of relevant laws, regulations, and guidelines affecting asset management, ensuring the organization's activities align with legal and compliance standards.
- Conduct periodic reviews and assessments to ensure compliance with regulatory requirements, including but not limited to SEC, FINRA, and other relevant authorities.
- Collaborate with investment teams to review and assess compliance with internal policies and external regulations governing investment activities.
- Oversee compliance aspects related to equity investments, including trading activities, insider trading policies, and disclosure requirements.
- Develop and implement compliance strategies related to ESG considerations in asset management.
- Conduct risk assessments related to asset management activities, identifying potential compliance risks and proposing mitigation strategies.
- Prepare and submit regular compliance reports to senior management, highlighting key compliance metrics and areas for improvement.
Compliance Associate Qualifications:
- Bachelor's degree in Finance, Business, Law, or a related field. Advanced degree or relevant certifications (e.g., CAMS, CFA, or CRCM) is a plus.
- Proven experience in compliance roles within the asset management industry, with a focus on investments, equity, and ESG.
- Strong understanding of regulatory requirements and industry best practices in asset management.