Associate, Compliance

The Compliance team is looking to add an Associate to their team in Darien, CT or Philadelphia, PA. The opportunity is responsible for interpreting complex regulatory requirements, implementing monitoring frameworks, and advising business lines to mitigate legal, operational and reputational risk, and ensure that daily operations align with applicable federal, state, and international standards.

THE SUCCESSFUL CANDIDATE IS EXPECTED TO:

• Assist in supervising/analyzing the firm’s compliance program and advocating for a strong culture of compliance with all employees
• Maintain firm’s Compliance Manual and perform annual compliance assessment
• Monitor employee’s compliance with firm’s Code of Ethics, including personal trading policies
• Aid in regulatory filings, such as Form PF, 13F, 13H, 13G, ADV, etc.
• Ensure compliance in regulatory matters throughout the business development and investor relations processes
• Maintain up-to-date knowledge of industry best practices to further develop effective compliance policies and procedures
• Review contracts, NDA’s, vendor agreements
• Draft, update, and maintain comprehensive compliance policies and written supervisory procedures (WSPs) to reflect evolving rules and industry best practices.
• Coordinate responses to regulatory inquiries, audits, and routine examinations from regulatory authorities (e.g., SEC, FINRA, CFTC/NFA, state regulators); liaise with external legal counsel as needed
• Monitor cybersecurity of the firm, including penetration/vulnerability testing, disaster recovery testing and mock-phishing exercises
• Coordinate firm-wide compliance training, sexual harassment training and cybersecurity training
• Review marketing collateral, RFP submissions, investor presentations, and product launch materials to ensure adherence to advertising and marketing rules

QUALIFICATIONS:

• The ideal candidate will have at least 4 years of experience working at an SEC-registered investment advisor and/or a compliance advisory firm
• The candidate must be proactive, a self-starter and possess strong analytical acumen, sound executive judgment, discretion in handling sensitive investigations, and excellent written communication for drafting policies and formal regulatory correspondence
• Ability to write policies and prepare footnote/compliance disclosures
• Working knowledge of key financial regulations, such as the Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Exchange Act of 1934, Dodd-Frank, BSA/AML/OFAC, or FINRA Conduct Rule.
• Must be comfortable wearing several hats and juggling diverse requests
• Ability to comfortably handle pressures and deadlines of a high-growth, fast-paced and demanding environment
• Knowledge of MNPI rules and expert network monitoring is strongly preferred
• Knowledge of SEC private fund requirements
• Bachelor’s degree required
• Exceptional written and verbal communication skills
• Proficiency in Microsoft 365 — Word, Excel, and PowerPoint
• Impeccable attention to detail
• Ability to work under time pressure
• Ability to interface with multiple systems to acquire needed information
• Confidence to interact with all levels of management, both internally and external

Salary Range: Expected base salary range for this role is $110,000 - $125,000/year

This range represents base salary only and does not include bonus or other forms of compensation. Actual base salary may vary based upon, but not limited to relevant experience, peer and market data, business sector, and/or geographic location. This role may also be eligible for an annual discretionary incentive compensation award. Future Standard offers a full spectrum of benefits, including Medical, Prescription, Dental, Vision, Health Savings Account, Paid Time Off, Holidays, 401(k), Disability and other Insurance Plans.