Associate Vice President, Compliance

📋 Description

• Support the compliance testing program by coordinating information requests, conducting testing
• Assist in identifying compliance risks and recommending enhancements to policies, procedures, and
• Coordinate and assist with the preparation, review, and submission of regulatory filings, including
• Support regulatory examinations, audits, and information requests by gathering documentation
• Serve as a key contributor to the firm's data privacy program, including privacy training
• Coordinate compliance reviews of vendors throughout the lifecycle, including due diligence, risk

🎯 Requirements

• Bachelor's degree
• 6+ years of investment adviser compliance experience
• Working knowledge of legal and compliance terminology and concepts
• Working knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940

🎁 Benefits

• Medical, dental, and vision benefit plans
• Health Savings Account with generous employer contribution
• Company paid life and disability insurance
• 401(k) savings plan with company match
• Comprehensive paid time off including vacation, holidays, sick time, and bereavement leave
• Up to 16 hours of volunteer time off