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Compliance Associate

The Mom Project Baltimore, MD

  • Expired: over a month ago. Applications are no longer accepted.
Job Description

The Mom Project is excited to partner with our client, an investment firm that manages long-biased, healthcare-focused public equity funds. They are looking for a Compliance  Associate to join the Compliance team to assist with the firm’s regulatory matters. The ideal candidate will be resourceful, have an entrepreneurial spirit, great communication skills and will be detail oriented. This is a full time position with a competitive compensation plan, comprehensive benefits, and paid time off. 

Responsibilities 


  • Compliance Associate will report directly to Chief Compliance Officer and work closely with the entire Compliance and Operations team

  • Draft revisions to compliance manual, coordinate firm responses in  connection with annual and other compliance reviews, manage general  correspondences and updates, etc. 

  • Manage the firm’s vendor due diligence process (onboarding, ongoing  monitoring, etc.) 

  • Research industry regulatory changes and summarize updates to  ensure compliance. 

  • Ensure employee adherence to compliance policies and regulations.

  • Manage restricted lists, preclearance request approvals, vigilance  regarding trading patterns and review of personal trading. 

  • Facilitate compliance onboarding training for new employees and  ongoing training for all employees, including development of materials  for such trainings.  

  • Create and implement best practices checklists and monthly/quarterly/annual compliance task and compliance  documentation checklists. 

  • Complete ad hoc projects as requested by the compliance team. 

Required Qualifications 


  • Bachelor’s Degree required. 

  • 1 year experience is required. 

  • 1 year experience monitoring employee reporting and compliance with  Code of Conduct and Code of Ethics policies using a compliance  software tool such as Compliance Elf or similar electronic compliance  reporting system. Code of Conduct and Code of Ethics covers, but is  not limited to, gifts and entertainment, personal trading, outside  business activities, conflicts of interest, etc.  

Preferred Qualifications 


  • Currently, or has in the recent past, been employed by or consulted  for a hedge fund, private equity fund, or investment advisor in a  compliance role. 

  • Ideal candidate has experience with regulatory filings including: Form  ADV, Form 3, Form 4, Form PF, Form D, Forms 13H/F/D/G, and Blue  Sky filings. 

They are proud to be an Equal Opportunity employer. They celebrate everything that makes an applicant unique. They will consider all qualified applicants without regard to race, color, creed, religion, sex (including pregnancy), age, sexual orientation, gender identity, gender expression, national origin, ancestry, physical or mental disability, marital status, genetic information, citizenship status, or veterans’ status or other applicable legally protected characteristics. 

They are committed to working with and providing reasonable accommodations to pregnant individuals, individuals with disabilities, and/or individuals needing accommodation for sincerely held religious beliefs.

 

Company Description
The Mom Project is the career destination for moms. Through our digital marketplace and community, we connect professionally accomplished women with world-class companies. The Mom Project is changing the way women work and redefining career structures by providing women with opportunities that are in balance with their personal goals.

The Mom Project

The Mom Project is the career destination for moms. Through our digital marketplace and community, we connect professionally accomplished women with world-class companies. The Mom Project is changing the way women work and redefining career structures by providing women with opportunities that are in balance with their personal goals.

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Address

Baltimore, MD
USA

Industry

Business

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