Job description

Code of Ethics Compliance Associate

Fully Remote: GC/USC only

Code of Ethics Compliance Associate for a premier investment firm that is expanding its capabilities across a broad range of opportunistic and alternative strategies in the private fund space.

The individual will support the Code of Ethics compliance program, including oversight of employee personal trading and outside business activity requirements. The position will be fully remote.

The Compliance Associates' key responsibilities include, but are not limited to the following:

• Review employee personal trades for potential conflicts with firm trades
• Complete daily personal trading conflicts of interest reviews and issue compliance violations, as necessary
• Facilitate regulatory filings for INVESTMENT FIRM Sponsored Closed-End Fund insiders as required by Section 16 of the 1934 Securities Act
• Engage with employees ranging from junior analysts to Managing Directors on any compliance reviews/matters identified
• Manage employee inquiries regarding personal trading and Code of Ethics requirements
• Manage personal trading system maintenance (e.g., ensuring personal accounts are added to/ removed from an automated broker feed, monthly data uploads)
• Contribute to personal trading system's development life cycle (e.g., create business specifications for system development, liaise with Technology, test system changes to provide business sign-off)
• Manage quarterly compliance certification launch, follow-up, and violations process
• Generate quarterly reporting of personal investment statements for employees
• Manage firm restricted trading list coding in the personal trading system
• Facilitate onboarding of new employees
• Assist compliance personnel with various projects and ad hoc tasks

Requirements:

• Undergraduate degree, preferably with a major in Business, Economics, Finance, or related field
• Preferably previous Code of Ethics Compliance professional, with experience monitoring personal trading and with the system development life cycle
• Technical aptitude with Microsoft Excel, including Excel formulas (e.g., vlookups, Pivot tables) and Microsoft Word
• Strong background in securities and investment products (stocks, bonds, derivatives, open-end mutual funds, closed-end funds, ETFs, private funds)
• Strong verbal/written communication skills
• Ability to work in a self-directed manner, proactively identifying issues and being solution-oriented
• Take initiative to lead projects and follow-up on outstanding items
• Strong organizational and analytical skills, high attention to detail, and problem-solving ability
• Be highly communicative regarding project progress, and escalate any challenges/bottlenecks
• Highly flexible capable of rapidly changing priorities based on business demands
• Have a high degree of discretion and ability to safeguard confidential information
• Have a strong sense of integrity, behaving consistently with expressed values and ethical principles of INVESTMENT FIRM

Job Type: Full-time

Salary: $55.00 - $60.00 per hour

Schedule:

• Monday to Friday

Experience:

• code of ethics: 3 years (Preferred)
• Investment Monitoring: 3 years (Preferred)

Work Location: Remote

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