Compliance Associate – Hybrid (2-3 days in office)
Compliance Associate – Hybrid (2-3 days in office)
Darien, Connecticut
|Direct (Permanent) Full Time
|$ 90,000 - $ 120,000 per year
Darien, Connecticut
Direct (Permanent) Full Time
$ 90,000 - $ 120,000 per year
September 14, 2023
|Job ID: 251514f-RJL_1694722656
September 14, 2023
Job ID: 251514f-RJL_1694722656
Job Summary
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Compliance Associate - Hybrid
Beacon Hill Legal is searching for a Compliance Associate for an asset management firm based in Darien, CT. This position is a hybrid position (2-3 days in office) and easily commutable from Metro North.
This candidate should have at least 2 years of experience as a Compliance Associate at an SEC-registered investment advisor or compliance advisory firm. This person would ideally have experience with drafting compliance policies, regulatory filings, and Code of Ethics. The salary for this position will range from $90,000-$120,000 with a performance bonus.
Responsibilities:
- Drafting firm policies and preparing compliance disclosures
- Monitor compliance with the Code of Ethics, including personal trading
- Regulatory filings including Form PF, 13F, 13H, 13G, ADV, etc.
- Review vendor contracts and NDAs
- Monitor the cybersecurity of the firm
- Coordinate compliance training firmwide
Qualifications:
- 2+ Years of Compliance Associate experience in an SEC-registered investment advisor or compliance advisory firm
- Bachelors Degree
- Great communication skills and presentation - this role will interact daily with the CCO
If interested and experienced, please submit your resume! (Please note that applications with a resume will not be considered)
251514f-RJL_1694722656
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About Beacon Hill
Beacon Hill is an Equal Opportunity Employer that values the strength diversity brings to the workplace. Individuals with Disabilities and Protected Veterans are encouraged to apply.
Founded by industry leaders to set a new standard in search, career placement and flexible staffing, we deliver coordinated staffing solutions with unparalleled service, a commitment to project completion and success and a passion for innovation, creativity and continuous improvement.
Our niche brands offer a complete suite of staffing services to emerging growth companies and the Fortune 500 across market sectors, career specialties/disciplines and industries. Over time, office locations, specialty practice areas and service offerings will be added to address ever changing constituent needs.
We look forward to working with you.
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