Compliance Associate
Robert Walters is partnering with a top global PE firm in the Washington, DC area, seeking to hire a Compliance Associate to join the firm's agile regulatory vertical.
The ideal candidate will report directly into the firm's GC & CCO and will assist in maintaining the firm's SEC compliance program, pursuant to the Investment Advisers Act of 1940.
The ideal candidate will have a proficiency in SEC regulatory filings and will have one-to-two years of corporate paralegal or in-house compliance experience.
Responsibilities:
Assist in the maintenance of the firm's SEC compliance program Review and approve marketing materials to ensure adherence to SEC advertising rules and regulations Assist in the preparation and submission of domestic and international regulatory filings (including SEC Form ADV) Assist with the testing of compliance manual policies & procedures, as well as the implementation and improvement of the firm's compliance testing program Please feel free to apply today or contact me directly at @robertwalters.
com.
Due to the high volume of applications we receive, we are unable to respond to every submission.
.
Estimated Salary: $20 to $28 per hour based on qualifications.
The ideal candidate will report directly into the firm's GC & CCO and will assist in maintaining the firm's SEC compliance program, pursuant to the Investment Advisers Act of 1940.
The ideal candidate will have a proficiency in SEC regulatory filings and will have one-to-two years of corporate paralegal or in-house compliance experience.
Responsibilities:
Assist in the maintenance of the firm's SEC compliance program Review and approve marketing materials to ensure adherence to SEC advertising rules and regulations Assist in the preparation and submission of domestic and international regulatory filings (including SEC Form ADV) Assist with the testing of compliance manual policies & procedures, as well as the implementation and improvement of the firm's compliance testing program Please feel free to apply today or contact me directly at @robertwalters.
com.
Due to the high volume of applications we receive, we are unable to respond to every submission.
.
Estimated Salary: $20 to $28 per hour based on qualifications.
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