Senior Compliance Associate: Regulation & Cyber Oversight

Future Standard; Darien (CT); On-site; USD 120,000 - 160,000; Full time

Job summary

Future Standard in Darien, CT is seeking a Sr. Associate to join the Compliance team. The role offers a high degree of visibility and opportunities for advancement, with responsibilities to support the firm's compliance program and culture.

You will maintain the Compliance Manual, assist with regulatory filings, monitor MNPI and Code of Ethics adherence, and help coordinate firm-wide training including cybersecurity and harassment prevention.

Qualifications

• 4+ years in SEC-registered investment advisory or compliance advisory roles.
• Able to write policies and disclosures.
• Comfortable juggling multiple hats under deadlines.
• Knowledge of MNPI rules and SEC private fund requirements.
• Strong written and verbal communication skills.

Responsibilities

• Assist in supervising and analyzing the firm's compliance program.
• Maintain the firm's Compliance Manual and perform annual assessments.
• Monitor employees' compliance with the Code of Ethics and personal trading policies.
• Aid in regulatory filings such as Form PF, 13F, 13H, 13G, ADV.
• Ensure compliance across business development and investor relations processes.
• Maintain up-to-date knowledge of industry best practices to develop effective policies.
• Monitor cybersecurity, including testing and disaster recovery exercises.
• Coordinate firm-wide compliance training, cybersecurity training and harassment training.

Skills

Verbal communication

Written communication

Self-starter

Analytical thinking

Problem-solving

Time management

Interfacing with multiple systems

Tools

Microsoft 365

Job description

Future Standard in Darien, CT is seeking a Sr. Associate to join the Compliance team. The role offers a high degree of visibility and opportunities for advancement, with responsibilities to support the firm's compliance program and culture.

You will maintain the Compliance Manual, assist with regulatory filings, monitor MNPI and Code of Ethics adherence, and help coordinate firm-wide training including cybersecurity and harassment prevention.