Website ACE Employment Services, Inc.
- Administer the Firm’s Compliance Management System (Compliance ELF)
- Develop and maintain appropriate recordkeeping schedules to properly retain data elements within Compliance ELF
- Administer all appropriate Compliance forms, inclusive of Code of Ethics, Compliance Manual and relevant Compliance ELF forms needed for regulatory compliance.
- Provide assistance on all levels to the compliance department in the evaluation, development, maintenance, and oversight of regulatory compliance, addressing areas such as: Code of Ethics, Proxy Voting, Custody. Portfolio Compliance, Marketing Materials, Regulatory Filings, Books and Records, Private Placement Procedures and Annual Compliance Review
- Develop and maintain appropriate communication with managers and employees by responding to requests accurately, timely, and thoroughly.
- Assist the CCO with compliance specific and other firm projects, as needed.
- Draft, coordinate committee review, and distribute Valuation Committee meeting minutes.
- Monitor system update of approved valuation prices
- Facilitate monthly reporting of upcoming and overdue private investment valuations
- Create new private investment files and maintain existing files with provided investment valuation submissions and periodic valuation support material
- A strong interest in the investment management industry
- Advanced experience in Microsoft Office Products, Excel, Outlook, and Word. Familiarity with Microsoft-PowerPoint.
- Ability to multi-task and perform a variety of tasks. Relies on experience and judgement to plan and accomplish goals.
- Very good analytic and problem solving skills.
- Excellent written communication skills
- Excellent organizational skills and ability to handle multiple tasks simultaneously
- Solutions driven
- High level of attention to detail
- Keen ability to exercise discretion
Education & Experience Requirements:
Bachelor’s degree (BA or BS) degree is required. Minimum 2-3 years of professional experience in investment management and compliance experience is preferred.