Sr. Associate, Compliance

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

The Compliance team is looking to add a Sr. Associate to their team in Darien, CT. This role offers a high degree of visibility and opportunity for advancement.

THE SUCCESSFUL CANDIDATE IS EXPECTED TO:

• 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 further develop effective compliance policies and procedures
• 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

QUALIFICATIONS:

• The ideal candidate will have at least 4 years of experience working at an SEC-registered investment advisor and/or a compliance advisory firm
• The candidate must be proactive, a self-starter and possess strong verbal and written communication skills
• Ability to write policies and prepare footnote/compliance disclosures
• Must be comfortable wearing several hats and juggling diverse requests
• Ability to comfortably handle pressures and deadlines of a high-growth, fast-paced and demanding environment
• Knowledge of MNPI rules and expert network monitoring is strongly preferred
• Knowledge of SEC private fund requirements
• Exceptional written and verbal communication skills
• Proficiency in Microsoft 365 - Word, Excel, and PowerPoint
• Strong analytical, strategic, and problem-solving skills
• Ability to work under time pressure
• Ability to interface with multiple systems to acquire needed information
• Confidence to interact with all levels of management, both internally and external