Compliance Associate

Key Responsibilities:

As the Compliance Associate, you will work closely with the Chief Compliance Officer to:

• Maintain compliance policies and protocols on behalf of the organization
• Develop and implement a compliance program to ensure the organization operates in accordance with federal securities laws
• Review marketing and advertising collateral to ensure it is compliance
• Maintain and update internal compliance reporting tools: employee personal trading, outside business activity, Code of Ethics and other certifications
• Remain up to date on federal laws related to the organization and update policies accordingly
• Perform compliance audits to determine whether establish protocols are being followed and where they can be improved
• Maintain up to date written documentation and policies related to the organization’s business activities
• Create and maintain compliance resource library for staff members to reference when they have questions
• Onboard and train new and existing staff based on roles and responsibilities.
• Preparing and filing forms and disclosures with regulators (SEC, FINRA, etc.)

Qualifications:

• 3-5+ years prior experience in investment adviser compliance roles
• Must have, or be willing to obtain, a compliance certification (IACCP)
• Possess superior attention to detail
• Must be a strong communicator both speaking and in writing and able to connect with all levels of the organization, including senior management
• Have a collaborative personality and be open to suggestions from team members
• Demonstrate strong knowledge of industry protocols and best practices
• Excellent analytical skills and ability to accurately interpret complex documents and policies
• Strong time management and organizational skills and able to meet deadlines
• Must be able to work effectively both independently and in a group setting.
• Have a strong moral code and sense of ethics

Our Culture

Empirical is truly unique. We believe that each employee is a valuable contributor to the overall effectiveness of the firm. The sharing of concepts and ideas is paramount to the growth of each employee, so we believe in cultivating an environment that promotes collaborative development. Our employees are passionate about the work they do and want to inspire that work ethic into those around them.