Compliance Associate

job
  • Atlas Search
Job Summary
Location
Parsippany ,NJ
Job Type
Contract
Visa
Any Valid Visa
Salary
PayRate
Qualification
BCA
Experience
2Years - 10Years
Posted
03 Jan 2025
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Job Description
  • Monitor the day-to-day administration of the RIA’s compliance program.
  • Assist the CCO with all dealings with any regulatory agencies.
  • Supervise the firm’s day-to-day activities
  • Review and approve client marketing, reporting, and correspondence.
  • Manage the firm’s annual testing process
  • Assist the CCO with all regulatory filings, including Form ADV (all parts) and Securities Exchange Act Section 13 filings.
  • Perform reviews of the firm’s remote locations
  • Monitor the RIA’s Code of Ethics Platform and compliance with any related requirements.
  • Assist in the review of electronic communications.
  • Update and maintain all written compliance policies and procedures.
  • Work with the CCO to design and implement clear operational, compliance, and supervisory systems.
  • Coordinate and conduct periodic continuing education and staff training.
  • Any other compliance-related tasks requested by the CCO

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