Compliance Associate
Cerity Partners - denver, CO
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Job Details Job Location Denver - Tufts Office - Denver, CO Salary Range $70,000.00 - $90,000.00 Salary/year The Compliance Associate's primary role is to assist the Chief Compliance Officer and team with the day-to-day administration of the Firm's compliance program, with a focus on Cerity Partners' Outsourced Chief Investment Officer practice (Cerity Partners OCIO). Cerity Partners OCIO's business is primarily located in Denver, CO and works with a limited number of institutional clients (e.g., endowments, foundations, and educational institutions) to create bespoke investment offerings utilizing both the effective fiduciary oversight and institutional investment expertise that long-term asset management demands. The ideal candidate will be familiar with private fund offerings and structures and their associated risks, and will be able to operate effectively in a complex and fast paced environment. As the regulatory landscape and associated risks evolve, so too will the nature of this role. The duties outlined below represent the general scope and level of work assigned to the position. This role will be based in our Denver office. It is a hybrid role, requiring in-office presence at least 2 days per week, with the option for remote work on other days. Primary Responsibilities Collect information for and complete regulatory filings, including Form ADV, Form PF, and 13F and 13H filings, among others. Oversee various surveillance, monitoring, and compliance controls, offering critical support to the Firm's investment management operations. Conduct Anti-Money Laundering (AML) reviews of clients, managers and counterparties. Review and approve marketing materials and client presentations to ensure they comply with SEC Marketing Rule standards. Manage and update policies and procedures, monitor information barriers, and enforce the company's Code of Ethics policy. Provide compliance-related guidance and support to financial advisors and business partners. Investigate compliance issues as they arise. Escalate issues as appropriate Develop and deliver compliance training as needed. Stay informed of applicable new or amended laws and regulations. Assist with regulatory examinations, audits, and inquiries. Occasional travel, up to 5%, may be required to visit the Firm's offices. Ideal Candidate Bachelor's degree. 3+ years of experience in financial services, preferably at an SEC-registered investment adviser or at a regulatory agency. Strong understanding of the Investment Advisers Act of 1940 and related regulations, with broad knowledge of financial industry compliance programs, Global Investment Performance Standards (GIPSĀ®) and CFTC/NFA requirements. Experience working with alternative asset management and conducting due diligence is preferred. Basic understanding of Private fund administration. Strong attention to detail and ability to work independently. Excellent communication and interpersonal skills. Ability to thrive in a fast-paced, dynamic environment. Company Overview Cerity Partners is a leading, national registered wealth management and institutional consulting firm serving high-net-worth individuals and their families, businesses and their employees, and nonprofit organizations from its offices across the country. Our in-house experts of attorneys, tax advisors, financial planners and investment professionals are passionate about and committed to providing objective financial advice and oversight. Our mission is to positively impact the financial well-being of our clients by delivering objective financial advice. Our culture allows us to deliver this mission. We believe in a simple formula that drives our actions and pushes us every day to do better than the day before: People First + Accountability = Winning Outcomes. We expect our team members to deliver on their responsibilities, understand how every component of our company works to generate success, and hold themselves and their colleagues accountable to the highest standards. As a result, we will enjoy talking to you if: You understand the need to provide a world-class client experience You value the collaboration of insightful, experienced colleagues to deliver our services You demonstrate a strong affinity in financial services, exceptional communication, organization, and prioritization skills
Created: 2024-10-14