Compliance Associate -Stamford CT

  • Negotiable
  • Stamford, CT, USA Stamford CT US
  • Permanent, Full time
  • Robert Walters Associates Inc
  • 13 Mar 18 2018-03-13

A dynamic midsize Investment Manager is skking a Compliance Associate in Stamford CT to join their Compliance Initative.

Key Accountabilities:

Support the General Counsel and Chief Compliance Officers to ensure that the firm remain in compliance with rules and regulations set forth by the jurisdictions in which the company, its investment funds, other client accounts, and its affiliates operate. This includes the SEC in the U.S., state regulatory authorities, and the FCA in the U.K.

  • Assist the Firm and its UK subsidiary with adherence to internal policies and procedures.
  • Assist with the Firm's compliance monitoring program globally including performing day to day administrative tasks such as data gathering, file maintenance, internal and external correspondence and other compliance program administrative duties as may be necessary.
  • Assist with writing, reviewing, and testing compliance policies and procedures.
  • Administer personal trading procedures including monitoring employee personal trading, reviewing brokerage statements and pre-clearance of personal trading transactions.
  • Assist in the Firm's regulatory filing obligations and in preparation for and response to regulatory inquiries from federal, state or local governments or regulatory bodies.
  • Generate and maintain various required records. Manage the Firm's books and records archives.
  • Attend and take minutes of the Firm's Compliance Committee meetings.
  • Assist with the Firm's reporting to '40 Act clients.


  • Bachelor's Degree.
  • Preferably at least two years of work experience in the financial services industry and within a legal or compliance function.
  • Knowledge of the Investment Advisers Act of 1940 is beneficial.
  • Exceptional problem-solving skills, organizational skills, attention to urgency and detail, and deadline-oriented.
  • Clear and concise oral and written communication skills.
  • Able to work successfully both independently and in a team environment.
  • Energetic, dynamic, highly motivated, ethical & mature, with an understanding of the importance of confidentiality and discretion.
  • Systems knowledge: Microsoft Office - especially Excel, PowerPoint and Word.
  • The position is based in Stamford CT with a resonable travel component