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
Didn't find what you're looking for? Search again!
Loading more jobs...