Compliance Specialist

We are hiring for a Compliance Associate who will work with a team to maintain and enhance the overall compliance program and to ensure compliance with SEC, CFTC and other applicable rules and regulations. The Compliance Associate will report directly to the Compliance Supervisor.Primary ResponsibilitiesAdminister the firm’s code of ethics/personal trading policyMonitor trading compliance, including trade allocationsDevelop and conduct forensic testing on various compliance areasAssist with administration of the order management system compliance function, including creating and modifying compliance rulesMaintain the firm’s restricted list and assist with MNPI proceduresAssist in responding to new and/or changing policies and procedures, and aid in the development of policies and procedures relating to new developments in relevant areasAnalyze, track and implement associated controls around regulatory changesProvide ad hoc assistance and support to the Chief Compliance Officer and compliance team in the following areas:Employee compliance trainingPreparing documents for committee meetingsMaintenance of compliance records as mandated by applicable regulatorsQualificationsBachelor’s degree2-5 years professional experience in operations, audit or compliance or similar role with exposure to financial productsHigh degree of professional integrity, judgment, and discretionStrong work ethic, initiative, and a proactive approachAbility to manage multiple tasks, prioritize effectively, meet deadlines, and deliver high-quality, error-free work in a fast-paced environmentA team player with strong organizational, interpersonal and communication skills.Experience monitoring personal trading, outside business activities, gifts and entertainment, and political contributionsProficiency in Microsoft Excel, Word; Sharepoint experience a plusKnowledge of Advisers Act rules and regulations a plusKnowledge of fixed income products a plusKnowledge of conflict of interest a plusPerform other duties as assigned

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