Senior Associate

Job Description

You will be facilitating our service offering by assisting in the performance of, and being responsible for, among other things

Assisting in the monitoring and maintaining of compliance programs for clients to ensure compliance with federal securities laws, including the Investment Advisers Act of 1940, as amended

Conducting forensic testing and verification of internal controls for clients to comply with prevailing rules and regulations

Assisting with managing clients' registrations with applicable regulators, including the SEC and CFTC

Assisting with preparing and maintaining Form ADV

Assisting in drafting regulatory policies and procedures

Analyzing clients' trading practices, including evaluating personal securities transactions

Ensuring all compliance violation reports are properly investigated and appropriate action is taken and documented, including adherence to client policies and procedures

Analyzing the regulatory environment for updates that might apply to clients

Assisting in conducting quarterly forensic compliance program testing, including performing ongoing reviews based on the clients' written policies and procedures

Assisting in drafting and filing various regulatory forms and schedules for clients

Assisting with regulatory examinations of clients' compliance programs conducted by regulatory authorities, including the SEC, NFA and various state securities boards