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Compliance Associate

Company: Fanning Personnel
Location: Boston
Posted on: May 28, 2023

Job Description:

  • Principal global corporate compliance administrator for the Code of Ethics and related policies, including Gifts & Entertainment, Political Contributions, Code of Conduct, and Whistleblower
  • Oversee the implementation, maintenance, and annual review of 10-15 compliance policies and procedures on an ongoing basis
  • Monitor for regulatory changes and implement revisions to internal policies and procedures as needed to ensure ongoing regulatory compliance
  • Oversee the in-person and online Compliance training program
  • Coordinate responses to requests from internal business partners
  • Support the production of Board reports and any other relevant materials
  • Support the efforts of the broader Compliance Team and provide additional tasks and duties as needed Qualifications :
    • Qualified candidates should have 2-4 years of related experience in the financial services industry, preferably within the investment advisory business
    • Familiarity with Rule 204A-1 the Investment Advisers Act of 1940 and Rule 17j-1 of the Investment Company Act of 1940 and related regulations (i.e., Code of Ethics requirements)
    • Self-starter with excellent communication and relationship skills
    • Strong writing, editing, and proofreading skills
    • Knowledge working with Microsoft products, including Teams and SharePoint Online
    • Comfortable learning new technologies
    • Demonstrated ability to prioritize work and manage multiple tasks to meet daily and periodic deadlines
    • Positive attitude, professional and mature
    • Comfortable working both independently and as part of a team Required Years of Experience : 2 Additional Info :

Keywords: Fanning Personnel, Boston , Compliance Associate, Other , Boston, Massachusetts

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