Compliance Associate

Compliance Associate

Overview:

Our client, a prestigious law firm, is seeking a diligent and detail-oriented Compliance Associate to join their dedicated team. This role offers a unique opportunity to work within a collaborative environment that emphasizes work-life balance, professional growth, and community engagement. You will play a vital part in ensuring the firm remains compliant with regulatory standards, supporting critical functions that uphold the company's integrity and reputation.

Compensation:

$80,000 - $110,000 yearly salary

Responsibilities:

• Collaborate closely with the Chief Compliance Officer to manage SEC and banking reporting and compliance tasks
• Contribute to the SEC and bank examination processes, including follow-up actions
• Oversee the timely preparation and submission of federal and state regulatory filings, ensuring adherence to relevant requirements such as Form ADV, Form CRS, and Form U4/U5
• Maintain and update the compliance calendar to track important deadlines
• Support the annual custody and SOC 1 audits with accurate documentation and coordination
• Manage the firm's pre-clearance policies, providing guidance and responding to employee inquiries
• Monitor trading activities, investigate alerts, and resolve violations
• Keep track of and communicate updates related to restricted securities and compliance policies
• Maintain accurate compliance records, documentation, and databases
• Generate reports on key compliance activities and ensure data accuracy
• Stay informed on regulatory changes, communicating and implementing updates across teams
• Liaise with internal personnel, external service providers, and regulatory agencies as needed
• Assist with miscellaneous compliance and risk mitigation activities
• Review and recommend process improvements to strengthen adherence to laws, regulations, and policies

Requirements:

• 2 to 4 years of experience in compliance within legal, investment advisory, broker-dealer, banking, or fiduciary services settings
• Bachelor’s degree or higher, with relevant professional experience
• Familiarity with the Investment Advisers Act of 1940 (preferred)
• Knowledge of fiduciary trust operations or investment businesses (preferred)
• Understanding of banking laws, including anti-money laundering and the bank secrecy act (preferred)
• Awareness of privacy laws and related regulations (preferred)
• IACCP® designation is a plus
• Strong written and verbal communication skills with the ability to exercise tact and professionalism
• Advanced proficiency with Microsoft Office Suite, with adaptability to new software applications
• Proven capacity to take ownership of tasks and meet challenging deadlines
• Excellent attention to detail with effective follow-up abilities
• Self-motivated with strong organizational skills and the ability to work efficiently under pressure
• Exceptional interpersonal skills and a customer-focused mindset
• Analytical mindset with excellent proofreading capabilities
• Discretion and sound judgment in handling sensitive information
• High energy, enthusiasm for learning, and a professional demeanor

Our Commitment to Inclusion & Belonging

The Hollister Group is an equal opportunity employer. We welcome and encourage applications from people who are under-represented in their respective occupation or position.