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Compliance Associate

Location: Boston, MA, United States
Job Type: Permanent
Job Category: Corporate
Job Industry: Banking/Finance
Salary: The pay we're offering is $60000 - $70000 per year
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The Opportunity

Description

  • Oversees administration of the Firm's Code of Ethics, including personal trading, outside affiliation, gifts and entertainment disclosures including management of Compliance Administration system.
  • Performs data entry related to quarterly filings, maintains a schedule of filings, tracks outstanding employee filings, and sends reminders to employees.
  • Maintains the Firm's restricted list, monitors upcoming deadlines related to restricted securities, performs inquiries with deal staff regarding status of restricted securities and communicates restrictions with the Trading Desk.
  • Prepares training materials for all new hires, monitors all new hire onboarding to ensure the appropriate certifications are completed by new hires.
  • Assists preparing and filing portfolio company proxies, consents and amendments.
  • Maintains and reviews Compliance Calendar for multiple registered investment advisers.
  • Manages the Firm's NDA approvals, expert network calls procedures, and quarterly lobbyist filings in various jurisdictions.
  • Assists with general administrative tasks including scheduling meetings, pre-clearing visitors, answers calls, facilitating mailings, etc.
  • Manages ad-hoc compliance projects such as vendor management due diligence questionnaires, investor meeting logs, compliance calendars, marketing logs, etc.

Our Client

Professional Staffing Group is one of Massachusetts’ largest staffing companies. Recruitment leaders count on us for help. You can too!

Why? Because of the great service we provide. We were the "overwhelming winner" of the first Excellence Award for Customer Acquisition and Retention. Our customers’ satisfaction means opportunity for you!

Want to work with someone who cares? We provide staffing to sponsored non-profits. Support scholarships and sponsorships. Give direct assistance to improve employability.

We care about you too! And we have the expertise to help. Do you want help with this opportunity?

Experience Required for Your Success

  • Bachelor Degree
  • 0-2 years of experience in compliance roles within an investment adviser organization
  • Familiarity with Compliance and Finance process and terminology
  • Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint, Access, Outlook)
  • Ability to set priorities in planning work and meeting strict deadlines despite constant interruptions
  • Ability to respond to variable workflow and maintain composure in a high-pressure environment
  • Abilityof maintaining confidentiality
  • Excellent written and verbal communication skills with the ability to exercise tact, good judgment and diplomacy in dealing with management, fellow employees and the public
  • Regular, reliable attendance and punctuality
  • Flexibility to come in early or stay late on short notice, if requested
  • Team player; Detail oriented
  • Ability to accept constructive feedback, learns from mistakes
  • Strong organizational and people skills

What Do You Think?
Does your experience reflect what it takes to be successful in this role? Do the work and challenges get you excited about what's possible? Apply Now

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