Compliance Associate: Regulatory Affairs & Policy Expert

Future Standard; Darien, Philadelphia (CT, Philadelphia County); On-site; USD 110,000 - 160,000; Full time

Job summary

Future Standard is seeking an Associate in Darien, CT (or Philadelphia, PA) to support the Compliance team in interpreting regulatory requirements, monitoring frameworks, and advising business lines to mitigate risk. The role emphasizes aligning daily operations with federal, state, and international standards.

Responsibilities include supervising the compliance program, maintaining manuals, overseeing ethics and trading policies, assisting with regulatory filings, and coordinating training

Qualifications

• 4+ years in SEC-registered investment advisor or compliance advisory firm.
• Proactive, self-starter with strong analytical ability and discretion.
• Ability to write policies and compliance footnotes.
• Working knowledge of major financial regulations (Investment Advisers Act, Investment Company Act, Securities Exchange Act, Dodd-Frank, BSA/AML/OFAC, FINRA rules).
• Comfortable handling multiple tasks in a fast-growing environment.
• Experience with MNPI rules and expert network monitoring preferred.
• Knowledge of SEC private fund requirements.
• Excellent written and verbal communication skills.
• Proficient with Microsoft 365 - Word, Excel, PowerPoint.

Responsibilities

• Assist in supervising/analyzing the firm’s compliance program and advocate for a strong culture of compliance.
• Maintain firm’s Compliance Manual and perform annual compliance assessment.
• Monitor employees' compliance with Code of Ethics and trading policies.
• Aid in regulatory filings such as Form PF, 13F, 13H, 13G, ADV.
• Ensure compliance in regulatory matters across business development and investor relations.
• Maintain up-to-date knowledge of industry best practices to develop effective policies.
• Draft, update, and maintain compliance policies and written supervisory procedures (WSPs).
• Coordinate responses to regulatory inquiries, audits, and examinations; liaise with external counsel.
• Monitor cybersecurity including penetration testing and disaster recovery exercises.
• Coordinate firm-wide compliance training including sexual harassment and cybersecurity training.
• Review marketing collateral and investor materials for advertising compliance.

Skills

Regulatory knowledge

Analytical thinking

Policy drafting

Strong written communication

Proactive/self-starter

Multitasking under deadlines

Executive judgment

Tools

Microsoft 365

Job description

Future Standard is seeking an Associate in Darien, CT (or Philadelphia, PA) to support the Compliance team in interpreting regulatory requirements, monitoring frameworks, and advising business lines to mitigate risk. The role emphasizes aligning daily operations with federal, state, and international standards.

Responsibilities include supervising the compliance program, maintaining manuals, overseeing ethics and trading policies, assisting with regulatory filings, and coordinating training