A growing registered investment advisor, located outside of Boston, is looking to hire a Compliance Analyst. The role will act as the second to the Chief Compliance Officer and will be responsible for assisting with the review and maintenance of the firm's compliance program. This is a key role as it will be the first hire in the compliance department, under the CCO.
- Review and manage the firm's Code of Ethics including Employee Personal Trading Activities, Outside Business Activities, Political Contributions, etc.)
- Prepare and submit regulatory filings including Form ADV, Form PF, etc.
- Review and update firm policies and procedures
- Assist in reviewing marketing materials, RFPs, DDQs, etc.
- Conduct compliance training programs
- Bachelor's Degree
- 2-4 years of compliance experience in the financial industry supporting investment advisors, wealth management firms, hedge funds, or private equity shops
- Experience with Code of Ethics and policies and procedures