Compliance Associate

Employer
Welch & Forbes
Location
Boston, USA
Salary
Competitive
Posted
24 Jun 2022
Closes
24 Jul 2022
Ref
15558671
Job Function
Compliance/Regulatory
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
The Role:

  • Administer the Firm's Compliance Management System (Compliance Alpha). Develop and maintain appropriate recordkeeping schedules to properly retain data elements within Compliance Alpha. Administer all appropriate Compliance forms, inclusive of Code of Ethics, Compliance Manual and relevant Compliance Alpha forms needed for regulatory compliance.
  • Provide assistance on all levels to the compliance department in the evaluation, development, maintenance and oversight of regulatory compliance, addressing areas such as:
  • Portfolio Compliance: Quarterly create, distribute, and monitor collection of review summaries from portfolio managers on their accounts investment objectives via Compliance Alpha system. Create, update, and monitor portfolio rules and restrictions. Assist CCO in various forensic tests including trading and portfolio management.
  • Marketing Materials: Assist CCO in review of marketing materials and presentations, website content, as well as maintenance of the Marketing Log and marketing materials and approvals within the Compliance Alpha system Assist with Request for Proposal (RFP) as needed.
  • Regulatory Filings: Assist CCO in the review and filings, as needed, of the Form 13H, Form 13F, Form SLT and Schedules 13D and 13G. Assist with Form ADV, Part 2a, Part 2b, as needed.
  • Annual Compliance Review: Assist CCO with Annual Review Process. Includes serving as liaison with external Compliance Firm, obtaining test documentation, participating in interviews and other testing procedures as required, and following up with any resulting recommendations.
  • Interface with Welch & Forbes management and employees on compliance matters. Develop and maintain appropriate communication with managers and employees by responding to requests accurately, timely, and thoroughly.
  • Assist in research and development of updated/enhanced processes and procedures for new regulatory rules and best practices.

Qualifications and Skills:

Knowledge & Skill Set Requirements:

Excellent organization skills and strong sense of service. Experience with a wide variety of system applications is preferred. Excellent interpersonal skills with a positive attitude and approach.
  • A strong interest in the investment management industry
  • Proactive and energetic
  • Dedicated team player
  • Persistent
  • Self-motivated and able to work independently
  • Strong interpersonal skills
  • Highly collaborative
  • Advanced experience in Microsoft Office Products ("MS") in Windows, Excel, Outlook, and Word. Familiarity with Microsoft-PowerPoint.
  • Ability to multi-task and perform a variety of tasks. Relies on experience and judgement to plan and accomplish goals.
  • Very good analytic and problem solving skills.
  • Excellent written communication skills
  • Excellent organizational skills and ability to handle multiple tasks simultaneously
  • Solution driven
  • High level of attention to detail
  • Keen ability to exercise discretion

Education & Experience Requirements:

Bachelor's degree (BA or BS) is required. Minimum 1-3 years of professional experience in the investment management industry. Compliance experience is preferred

eFCSoSe

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