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