Senior Compliance AssociateVirtualVocations • New Orleans, Louisiana, United States
Senior Compliance Associate
VirtualVocations • New Orleans, Louisiana, United States
[job_card.30_days_ago]
[job_preview.job_type]
- [job_card.full_time]
[job_card.job_description]
A company is looking for a Compliance Senior Associate who has experience in SEC-registered investment advisers or wealth-management firms.
Key Responsibilities
Support and evolve the firm's compliance program alongside senior compliance leadership
Process regulatory filings and monitor regulatory changes, providing updates to stakeholders
Conduct compliance testing, audits, and training while identifying emerging compliance risks
Required Qualifications
3 - 7+ years of compliance experience in SEC-registered investment advisers or wealth-management firms
Working knowledge of the Investment Advisers Act of 1940 and related regulatory filings
Experience with trade oversight and compliance documentation
Ability to operate in a fast-paced environment and adapt to shifting priorities
Desire to grow into a more senior compliance role over time
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