October 26, 2016

Compliance Associate - Investment MgmtBrokerage

DM Stone JobsInBrokerage.com - San Francisco, CA

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Job Description

The Compliance Department provides advice and guidance to our business partners regarding the applicability of rules and regulations, advice on policies, procedures and controls, compliance monitoring and assistance with supervisory reviews in order to ensure compliance with all federal and state securities laws and regulations. Brief Description of Role:The general purpose of this position is to support the administration, development and execution of the firm's Compliance Program. This role as a compliance associate will focus on assisting the Compliance team with the administration of the compliance program.The ideal candidate will have previous compliance experience in a high-touch/high-client-experience-expectation organization within a registered investment advisor. The Compliance Officer will report to the Director of Compliance.Specific Responsibilities:?Manage the regulatory filings for the department, including the Form ADV, 13F, and 13H. ?Maintain the Compliance Calendar and organize projects and generally keep things on-track. Follow-up and follow through are critical?Perform general compliance projects and tasks, including administrative duties such as physical/electronic file maintenance, managing calendars, and helping with expenses for the team.?Gather and manage data for enterprise reporting purposes, including follow ups with the business partners.?Perform research on ad hoc compliance policies and regulations.?Assist with developing training materials


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