Compliance Associate

About Us:Since 2006, Mill Creek Capital Advisors has led wealthy individuals, families, and institutions toward the legacy they seek, earning trust, building confidence, and remaining committed to doing what's best for each client we serve. We are a registered investment advisor (RIA) with approximately $9.5 billion of assets under management (as of December 31, 2023). Headquartered in Conshohocken, Pa, we have 3 office locations in the US. For further information, please visit Summary: We are seeking a highly motivated Compliance Associate to provide direct support to our President, Chief Compliance Officer, and Chief Investment Officer. The ideal candidate will have two or more years of experience working with SEC-regulated entities, specifically within the investment management industry. This role requires a detail-oriented individual who can manage multiple tasks simultaneously and embrace our culture of collaboration, integrity, and respectful challenge. Position Responsibilities:Direct Support: Provide direct assistance to (1) Mill Creek employees and in navigating compliance rules and regulations as they work with prospects and clients and (2) to the Chief Compliance Officer in daily compliance operations.Marketing Compliance: Support the preparation and review of advertising and marketing materials to ensure compliance with regulatory standards. Take ownership of our database of compliance-approved communication materials and review on an ongoing basis to ensure compliance.Process Management: Maintain and track the compliance calendar, project workflows, and other related processes.Process Improvement: Continuously enhance internal processes, project workflows, and procedures to improve efficiency and compliance.Annual Review: Assist in all aspects of the Annual 206(4)-7 Review, including handling information requests, preparing documents, conducting testing, and developing protocols.Regulatory Documentation: Assist in preparing regulatory documents such as Form ADV, Form PF, Form 13 filings, policies and procedures, risk assessments, and compliance checklists.Code of Ethics Management: Assist in drafting, approving, distributing, and monitoring Code of Ethics certifications and pliance Interaction: Interact with compliance resources, including consultants and designated officers, during periodic calls to support various regulatory compliance needs.Additional Duties: Perform other duties as assigned.Qualifications:Education: Bachelor's degree is required.Experience: Minimum of 2 years of related experience working with SEC-regulated dustry Knowledge: Familiarity with the Investment Advisers Act of 1940 and experience in the investment management industry.Software Proficiency: Prior experience using Code of Ethics software solutions. Orion-BasisCode is dependence: Ability to work independently across multiple stakeholders and tasks munication Skills: Strong oral and written communication skills.Time Management: Excellent time management and organizational abilities.Problem-Solving: Ability to promptly escalate breaches in policiescompliance to management.Team Environment: Ability to thrive in a fast-paced, small-team environment.Motivation: Highly motivated and goal-oriented, showing initiative on tasks and projects. Our Benefits Overview:Competitive compensation commensurate with experienceMedical, dental, vision and disability insuranceHybrid in officeremote work schedule401(k) contributionsPaid parental leaveHow to Apply:Please submit your resume and a cover letter detailing your relevant experience to job spec here:

Created: 2024-11-09