Compliance Associate

By | October 11, 2017

Website ACE Employment Services, Inc.

Job Description

Our client, a wealth management firm in Boston, is seeking a Compliance Associate to be an integral member of the compliance operations. In this role you will work with the Chief Compliance Officer and will be involved in all aspects of regulatory compliance. You will have an opportunity to make meaningful and visible contributions to the firm’s compliance efforts.


  • 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.