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Job

Compliance Associate

  • Location

    Remote/Charleston, SC.

  • Sector:

    Financial Services and Banking

  • Job type:

    Permanent

  • Salary:

    60,000

  • Contact:

    Hannah Twomey

  • Contact email:

    h.twomey@hamlynwilliams.com

  • Salary high:

    0

  • Salary low:

    0

  • Published:

    6 days ago

  • Expiry date:

    2023-06-10

  • Startdate:

    ASAP

A wealth management partner of ours in South Carolina is looking for an experienced Compliance Associate to join their growing organization. This position will report to the Chief Compliance Officer and will be an instrumental part of managing the firm's compliance program. 

 

As a Compliance Associate, you will:

  • Email, Social Media and Advertising Review
  • Review and monitor Supervised Person reporting requirements, including personal securities transactions, outside business activities, gifts & entertainment and political contributions
  • Track solicitor relationships to ensure activities are appropriately documented and requirements adhered to
  • Work with CCO to manage Regulatory Filings, including quarterly 13F reporting and the annual ADV Amendment
  • Help to conduct compliance new hire training
  • Conduct an annual review of branch offices; remote and in person visits
  • Conduct surveillance of checks and securities logs
  • Help with the pre-approval of alternative investment and advisory annuities
  • Work with the CCO to supervise complaints and trade incidents
  • Conduct forensic testing
  • Other responsibilities that support the compliance obligations of the firm.

 

As a Compliance Associate, you will need:

  • A college degree, or at least 3-5 years of financial industry oversight, preferable with an Investment Advisor concentration.

 

If you are a skilled Compliance Associate, you can apply by:

As a Compliance & Financial Crime market specialist, I am partnered with a myriad of large and small Financial Services and Wealth Management Institutions across the West Coast. If this role is of interest to you, or if you are interested in exploring other opportunities within the market, you are welcome to reach out directly to:

Hannah Twomey, h.twomey@hamlynwilliams.com, 619-324-0225

 

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