Compliance Operations Associate 2646752

Our client's team is a dynamic team of 9 compliance professionals supporting institutional investment areas. We are seeking a highly organized, detail-oriented Compliance Operations and Administration Associate to support the day-to-day operations of the Managed Investments and Fund Compliance Division, particularly in administering our Personal Trading Policy. In this role, you will be responsible for ensuring compliance, managing onboarding processes, maintaining records, and providing ongoing support to enhance operational efficiency.

You will collaborate closely with divisional leadership, subject matter experts, and various stakeholders to streamline processes and improve the overall quality of our operations.

Key Responsibilities:

• Lead training and onboarding sessions (group and individual) for all access persons, ensuring a thorough understanding of the Personal Trading Policy.
• Accurately maintain all required records related to personal trading and onboarding activities, ensuring timely updates.
• Continuously identify opportunities to improve the efficiency, quality, and experience of personal trading administration and onboarding processes.
• Provide ongoing support to the Personal Trading Administration (PTA) team, including assisting with quarterly certifications.
• Monitor and manage team mailboxes, working with subject matter experts to address inquiries and requests promptly.
• Assist with scheduling and preparing for subadvisor oversight and board meetings.
• Maintain and update the division's SharePoint site, ensuring all team documents are properly versioned, linked, and organized.
• Collect, review, and maintain broker statements (digital and paper) in line with regulatory requirements.
• Ensure accurate reporting of transactions entered by associated persons by regularly reviewing systems.
• Manage documentation and communication regarding policy violations and waivers.
• Oversee Business & Entertainment Reporting forms, ensuring proper collection, filing, and review for compliance.
• Conduct research on new investment opportunities and determine reportability under the Personal Trading Policy.
• Support board preparations by scheduling due diligence calls with subadvisors and compiling necessary compliance reporting.

Must Have:

• Ability to work independently.
• Strong attention to detail.
• Demonstrated ability to handle confidential corporate and personal information with discretion.
• Excellent analytical skills.
• Strong written and verbal communication skills.

Nice to Have:

• Experience with SharePoint.
• Familiarity with personal trading policies.
• Knowledge of investment operations and compliance.