Compliance Associate Compliance Associate …

Sands Capital Management
in Arlington, VA, United States
Permanent, Full time
Last application, 22 Apr 21
Competitive
Sands Capital Management
in Arlington, VA, United States
Permanent, Full time
Last application, 22 Apr 21
Competitive
Sands Capital is an independent, employee-owned investment management firm based in Arlington, Virginia that manages multiple billions of dollars in client assets. Sands Capital’s strategies employ a fundamental, bottom-up research process to identify high-quality growth businesses that we can own for the long term in concentrated portfolios. We invest on a global basis across the life cycle from early-stage private businesses to leading public companies.

Identified below are Core Values the firm holds in high regard and believes are critical for high-performing teams at Sands Capital:

  • Integrity & Trust: Do what is right, not what is popular. Deliver on commitments. 
  • Client-Centered: Always act in the best interest of our clients. 
  • Commitment to Excellence: Strive to learn and improve. Implement best practices. 

Position Overview

The Compliance Associate will provide administrative support to both the Chief Compliance Officer (CCO) and Director of Compliance (DOC), as well as a team of Compliance Analysts.  This role will also assist with projects related to the adherence of the investment management industry’s regulatory requirements.  A successful candidate will be resourceful, detail-oriented, entrepreneurial, and able to see the big picture. This position is a great opportunity for someone who is just starting out their career in Compliance and looking to eventually grow into an Analyst position. 

Responsibilities may include (but not limited to):

  • Meeting scheduling including webinars, annual compliance training, and staff orientations
  • Supporting the creation of “in house” compliance materials including compliance training, presentations to senior management, and staff member communications
  • Working closely with the Chief Compliance Officer to assist in the quarterly review and compilation of the Compliance Manual, including interacting with other teams to obtain feedback on policies, proof reading, version control, and dissemination of policies and procedures across the firm
  • Compilation and reporting of Compliance Team metrics to senior management
  • Leading the coordination and organization of the Annual Updating Amendment to Form ADV including:
    • Tracking deadlines and progress on deliverables assigned to the team and providing status updates on the same to the DOC
    • Coordinating across various functional teams to track deadlines and obtain deliverables assigned to staff members outside the team
    • Keeping a clear tracking document in real-time showing progress of each item across all sections of the form – Part 1, Part 2A and Part 2B Brochure
    • Generally ensuring that the overall workflow process stays on track in a timely and efficient manner
  • Leading the coordination across various functional teams to obtain and organize responses to the following: 
    • Audits
    • Regulatory filings
    • Regulatory exams
    • Client due diligence meetings
    • Compliance policies and procedures
  • Compiling minutes and memos for various meetings including, but not limited to:
    • Best Execution
    • Proxy Voting
    • Valuation
    • Forensic Testing
  • Assisting with statement filings, holdings, and transaction input and general tracking of information for staff member’s personal trading
  • Assisting with various tasks related to the “Pay to Play” SEC Rule, including compiling information from third parties and maintaining lists of Covered Associates
  • Supporting the Compliance Team by managing their activities around expert networks including:
    • Maintaining monthly call logs
    • Providing monthly call statistics to the CCO and DOC
    • Performing real-time checks of the Firm’s restricted lists against call requests
    • Managing the Compliance Expert Network calendar
    • Reconciling monthly usage logs against the calendar
  • Maintaining and improving our user experience in BasisCode, the team’s workflow tool
  • General filing, scanning, and tracking of invoices and expenses
  • Supporting the team with other projects and tasks as needed

Skills and Qualifications

  • Minimum of three years relevant work experience
  • Undergraduate degree preferred
  • Superior skills across the Microsoft Office Suite (Word, Excel, PowerPoint, and Outlook)
  • Highly resourceful, adaptable, and able to think quickly
  • High degree of initiative, self-discipline, and motivation
  • Ability to show foresight and anticipate the needs of the team
  • Ability to work collaboratively and effectively as part of a team
  • Exceptional communication skills (both verbal and written)
  • Ability to interact with all levels of staff
  • Ability to perform position responsibilities independently with a high degree of efficiency and accuracy
  • Solid organizational and time management skills with the ability to prioritize, handle multiple projects at once, and collaborate with multiple team members
  • Solid time management skills
  • Exhibits behaviors consistent with Sands Capital’s values and culture

Additional Information
To be considered, candidates must submit a resume that specifically outlines your qualifications for the position.

We offer competitive salaries and generous benefits.

Sands Capital is proud to be an Equal Opportunity Employer. We are committed to providing equal employment opportunities to all applicants and staff members. For our staff members, equal opportunity includes access to the benefits and privileges that the firm provides to staff members generally. We appreciate the value diversity brings to Sands Capital and are committed to creating an inclusive environment for all staff members.

We evaluate and select qualified applicants without regard to race, color, national origin, age, religion, disability status, gender, sexual orientation, gender identity, genetic information, marital status, veteran status, or any other characteristics protected by applicable federal, state, or local laws. Discrimination of this kind is also strictly prohibited by a variety of federal, state, and local laws, including Title VII of the Civil Rights Act 1964, the Age Discrimination in Employment Act of 1967, and the Americans with Disabilities Act of 1990.

View the “Equal Employment Opportunity is the Law” poster here and its supplement here.

 We are committed to working with and providing reasonable accommodations to pregnant individuals, individuals with disabilities, and/or individuals needing accommodation for sincerely held religious beliefs. If you need a reasonable accommodation, please send an e-mail to eciccarello@sandscap.com and let us know the nature of your request and your contact information

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