Job Description

Minimum Responsibilities:

• Provide day-to-day support in the development, implementation, and maintenance of compliance programs for a variety of registered investment advisers, including but not limited to:
  • Draft and implement compliance policies and procedures - ensure compliance policies and procedures are effectively communicated to client, in accordance with the Firm’s regulatory requirements;
  • Conduct annual compliance reviews;
  • Prepare compliance training materials;
  • Prepare and submit regulatory filings;
  • Monitor compliance employee personal trading and electronic communications;
  • Prepare and maintain employee disclosure forms and assist client in organization and maintenance of required books and records; and
  • Continuously monitor relevant regulatory changes and assist clients in developing internal controls, accordingly.
• Register clients as investment advisers with the appropriate regulatory bodies;
• Assist in conducting mock regulatory exams;
• Assist in providing SEC exam support; and
• Proactively provide practical, business friendly solutions for esoteric regulatory issues.

Qualifications

Education and Experience Requirements:

• Current student
• Excellent written and verbal communication skills;
• Strong, independent self –starter, as well as collaborative problem solver;
• Strong research skills;
• Ability to multi-task across a range of projects with constantly shifting priorities; and
• Ability to work 15-20 hours per week.
• Ability to work for a full year

Additional Information

All your information will be kept confidential according to EEO guidelines.

Salary: $20/hour