Job Summary: Our client is seeking a Compliance Associate to join their team and assist with developing & implementing compliance procedures.
Key Responsibilities: - Assist with regulatory filings, inquiries, and exams
- Maintain the firm's policies and procedures
- Assist with researching new compliance rules and implementing policy updates
- Perform employee personal trade reviews, gift/entertainment, political contributions, and outside business activities
- Assist with firm trade compliance monitoring
Qualifications: - Bachelor's Degree
- 2-5 Years of compliance experience at an SEC-registered investment advisor
- General knowledge of CFTC and SEC frameworks
The salary range is between $100,000-$135,000 depending on experience. For more information, please reach out to Josh Delgado at Joshua.Delgado@trevosepartners.com
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