Our client is seeking a Compliance professional to join their Legal & Compliance team in providing the following support for their firm's regulated entities in the US and UK.

Responsibilities:

• Supervise firm's compliance monitoring technology platform & review Code of Ethics preapprovals.
• Support business with questions related to compliance with company policies.
• Administer & monitor quarterly attestations including outside business activities, gifts, and entertainment review, and political contributions.
• Play an active role in the maintenance, surveillance & enhancement of firm's compliance policies & procedures.
• Assist with overall organization & operation of the firm's compliance functions.
• Maintain compliance records.
• Liaise with the firm's marketing team & review marketing materials
• Coordinate completion & submission of regulatory filings, including Form ADV, Form PF, and others
• Perform regulatory analysis with respect to SEC rulemaking
• Assist with fund onboarding & investor AML/KYC
• Manage personal trade review compliance program
• Support overall functions of the Legal & Compliance Depart for the firm's investment adviser & broker-dealer.

Qualifications:

• 2-3 years of experience working in the compliance function at a fast-paced, sophisticated financial services firm.
• Bachelor's degree is mandatory. JD a plus.
• Highly organized & capable of prioritizing a diverse workload
• Excellent oral & written communication skills with ability to interact effectively & professionally across all levels from staff to senior management.
• Proficiency in Microsoft Word, PowerPoint, Outlook, and Excel