A growing Asset Management firm based in the Philly Metro area is looking to bring on a new Compliance Associate to their team. This position would be reporting to the firms Chief Compliance Officer
Responsibilities
- Maintain the firms Code of Ethics monitoring system.
- Review Advertising and Marketing Materials for the firm.
- Assist with the review of Compliance policies and procedures.
- Work alongside other members of the compliance team on the preparation of Regulatory Filings.
Qualifications
- 2+ years of experience within the RIA Compliance space.
- Familiarity with Compliance monitoring systems like ComplySci is a plus.
- Familiarity with SEC and FINRA rules and regulations including the Investment Advisers Act of 1940.
- Bachelors Degree preferred.
