Senior Compliance Associate — Regs, Risk & Training

Socket.dev; Darien (CT); On-site; USD 90,000 - 130,000; Full time

Job summary

Future Standard, a global alternative asset manager, seeks a Senior Associate in its Compliance team in Darien, CT. This role offers a high degree of visibility and opportunity for advancement.

You will assist in supervising and analyzing the firm's compliance program, maintain the Compliance Manual, monitor the Code of Ethics, aid in regulatory filings such as Form PF, 13F, 13H, 13G, ADV, etc., and ensure compliance across business development and investor relations processes.

Qualifications

• At least 4 years of experience at an SEC-registered investment advisor or compliance advisory firm;
• Ability to write policies and prepare footnote/compliance disclosures;
• Exceptional written and verbal communication skills.

Responsibilities

• Assist in supervising/analyzing the firm's compliance program and advocating for a strong culture of compliance with all employees.
• Maintain firm's Compliance Manual and perform annual compliance assessment.
• Monitor employee's compliance with firm's Code of Ethics, including personal trading policies.
• Aid in regulatory filings, such as Form PF, 13F, 13H, 13G, ADV, etc.
• Ensure compliance in regulatory matters throughout the business development and investor relations processes.
• Maintain up-to-date knowledge of industry best practices to develop effective compliance policies and procedures.
• Review contracts, NDA's, vendor agreements.
• Monitor cybersecurity of the firm, including penetration/vulnerability testing, disaster recovery testing and mock-phishing exercises.
• Coordinate firm-wide compliance training, sexual harassment training and cybersecurity training.

Skills

Verbal and written communication

Policy writing

Regulatory knowledge (SEC)

MNPI rules knowledge

Expert network monitoring

SEC private fund requirements

Multitasking / wear multiple hats

Attention to detail

Interfacing with multiple systems

Education

Bachelor's degree

Tools

Microsoft 365

Job description

Future Standard, a global alternative asset manager, seeks a Senior Associate in its Compliance team in Darien, CT. This role offers a high degree of visibility and opportunity for advancement.

You will assist in supervising and analyzing the firm's compliance program, maintain the Compliance Manual, monitor the Code of Ethics, aid in regulatory filings such as Form PF, 13F, 13H, 13G, ADV, etc., and ensure compliance across business development and investor relations processes.