What are the responsibilities and job description for the Compliance Associate position at The Hollister Group?
Compliance Associate
Overview:
Our client, a prestigious law firm, is seeking a diligent and detail-oriented Compliance Associate to join their dedicated team. This role offers a unique opportunity to work within a collaborative environment that emphasizes work-life balance, professional growth, and community engagement. You will play a vital part in ensuring the firm remains compliant with regulatory standards, supporting critical functions that uphold the company's integrity and reputation.
Compensation:
$80,000 - $110,000 yearly salary
Responsibilities:
- Collaborate closely with the Chief Compliance Officer to manage SEC and banking reporting and compliance tasks
- Contribute to the SEC and bank examination processes, including follow-up actions
- Oversee the timely preparation and submission of federal and state regulatory filings, ensuring adherence to relevant requirements such as Form ADV, Form CRS, and Form U4/U5
- Maintain and update the compliance calendar to track important deadlines
- Support the annual custody and SOC 1 audits with accurate documentation and coordination
- Manage the firm's pre-clearance policies, providing guidance and responding to employee inquiries
- Monitor trading activities, investigate alerts, and resolve violations
- Keep track of and communicate updates related to restricted securities and compliance policies
- Maintain accurate compliance records, documentation, and databases
- Generate reports on key compliance activities and ensure data accuracy
- Stay informed on regulatory changes, communicating and implementing updates across teams
- Liaise with internal personnel, external service providers, and regulatory agencies as needed
- Assist with miscellaneous compliance and risk mitigation activities
- Review and recommend process improvements to strengthen adherence to laws, regulations, and policies
Requirements:
- 2 to 4 years of experience in compliance within legal, investment advisory, broker-dealer, banking, or fiduciary services settings
- Bachelor’s degree or higher, with relevant professional experience
- Familiarity with the Investment Advisers Act of 1940 (preferred)
- Knowledge of fiduciary trust operations or investment businesses (preferred)
- Understanding of banking laws, including anti-money laundering and the bank secrecy act (preferred)
- Awareness of privacy laws and related regulations (preferred)
- IACCP® designation is a plus
- Strong written and verbal communication skills with the ability to exercise tact and professionalism
- Advanced proficiency with Microsoft Office Suite, with adaptability to new software applications
- Proven capacity to take ownership of tasks and meet challenging deadlines
- Excellent attention to detail with effective follow-up abilities
- Self-motivated with strong organizational skills and the ability to work efficiently under pressure
- Exceptional interpersonal skills and a customer-focused mindset
- Analytical mindset with excellent proofreading capabilities
- Discretion and sound judgment in handling sensitive information
- High energy, enthusiasm for learning, and a professional demeanor
Our Commitment to Inclusion & Belonging
The Hollister Group is an equal opportunity employer. We welcome and encourage applications from people who are under-represented in their respective occupation or position.
Salary : $80,000 - $110,000