Compliance Operations Associate
Supports investment advisory compliance program by managing regulatory filings, reviewing reports, administering Code of Ethics software, assisting with training, and serving on supervisory committees. Requires 2-5 years experience in compliance or investment management and a bachelor's degree.
About the job
Responsibilities
- Manage the preparation of key regulatory filings (e.g., EU Short Reporting, Forms 13H and 13F, various CFTC and NFA filings, state "Blue Sky" filings and others).
- Review critical reports that would indicate the need to make a regulatory filing.
- Assist with the day-to-day administration of the firm's Code of Ethics software system for employee compliance, which includes personal trading by employees and other access persons, various periodic certifications by employees and other documentation, etc.
- Assist with compliance training.
- Operate as secretary for various supervisory committees.
Skills
Sec Regulations, Cftc Regulations, Nfa Compliance, Code Of Ethics Software, Regulatory Filings, Compliance Training, Investment Adviser Compliance, Blue Sky Filings, Form 13F, Form 13H
Similar jobs
Legal jobs
The Voleon Group
Berkeley, CASupports attorneys and legal operations professionals across investment product launches, contract negotiations, transactions, and strategic projects at a quantitative investment firm. The role is intended for current bachelor’s students or recent graduates with strong analytical, communication, organizational, and problem-solving skills.
Carta
Sandy, UTThe analyst manages inbound KYC requests, reviews documentation, advises clients on regulatory requirements, and maintains audit-ready records. The role requires 1–2+ years of compliance experience, knowledge of global AML/KYC frameworks, strong communication skills, and comfort handling complex legal entities.
Kraken
United States
Files Suspicious Activity Reports with regulatory authorities, managing high-volume caseloads and meeting regulatory deadlines. Requires at least two years of financial-services experience, strong attention to detail, and knowledge of AML and crypto crime.
Carta
Seattle, WASupports lawyers with NDA and commercial contract markups, document lifecycle management, execution, and client delivery across high-volume matters. The role is suited to an organized, clear communicator with 0–1+ years of experience and a preferred bachelor's degree in law or equivalent.
Everlaw
Oakland, CA
Associate Counsel will negotiate SaaS, vendor, licensing, and procurement agreements while advising Sales and Finance and improving AI-assisted legal workflows. The role requires 1–3 years of commercial contracting experience, a J.D., active bar membership, and familiarity with SaaS legal issues.