Job Description:

Our client is seeking a Compliance professional to join their Legal & Compliance team in providing the following support for their firm's regulated entities in the US and UK.Responsibilities:Supervise firm's compliance monitoring technology platform & review Code of Ethics preapprovals.Support business with questions related to compliance with company policies.Administer & monitor quarterly attestations including outside business activities, gifts, and entertainment review, and political contributions.Play an active role in the maintenance, surveillance & enhancement of firm's compliance policies & procedures.Assist with overall organization & operation of the firm's compliance functions.Maintain compliance records.Liaise with the firm's marketing team & review marketing materialsCoordinate completion & submission of regulatory filings, including Form ADV, Form PF, and othersPerform regulatory analysis with respect to SEC rulemakingAssist with fund onboarding & investor AMLKYCManage personal trade review compliance programSupport overall functions of the Legal & Compliance Depart for the firm's investment adviser & broker-dealer.Qualifications:2-3 years of experience working in the compliance function at a fast-paced, sophisticated financial services firm.Bachelor's degree is mandatory. JD a plus.Highly organized & capable of prioritizing a diverse workloadExcellent oral & written communication skills with ability to interact effectively & professionally across all levels from staff to senior management.Proficiency in Microsoft Word, PowerPoint, Outlook, and Excel