layiq
/la·yiq/adjective
worthy; deserving; fitting; suitable.
A role, opportunity, or path that merits attention, time, and pursuit.
Loading LAYIQ…
Job opportunity
Associate, Compliance
Future Standard
Darien, Connecticut, United States; Philadelphia, Pennsylvania; Darien, Connecticut, United States
Source: Future Standard careers · View original posting
Employer job description
From Future Standard's posting. “We” and “our” refer to the employer.
The Compliance team is looking to add an Associate to their team in Darien, CT or Philadelphia, PA. The opportunity is responsible for interpreting complex regulatory requirements, implementing monitoring frameworks, and advising business lines to mitigate legal, operational and reputational risk, and ensure that daily operations align with applicable federal, state, and international standards.
THE SUCCESSFUL CANDIDATE IS EXPECTED TO:
- Assist in supervising/analyzing the firm’s compliance program and advocating for a strong culture of compliance with all employees
- Maintain firm’s Compliance Manual and perform annual compliance assessment
- Monitor employee’s compliance with firm’s Code of Ethics, including personal trading policies
Aid in regulatory filings, such as Form PF, 13F, 13H, 13G, ADV, etc.
- Ensure compliance in regulatory matters throughout the business development and investor relations processes
- Maintain up-to-date knowledge of industry best practices to further develop effective compliance policies and procedures