skillventory - A Leading Talent Research Firm

Associate, Asset Management Compliance

skillventory - A Leading Talent Research Firm

full-time

Posted on:

Location Type: Hybrid

Location: Merrimack • New Hampshire • Rhode Island • United States

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About the role

  • Supporting the operations of the material non-public information program by responding timely to requests regarding the establishment of fund and personal trade restrictions as well as reviewing exception alerts and responding/resolving as needed
  • Compiling information/data for internal reporting and regulatory responses
  • Responding to internal client inquiries regarding routine basic matters and escalate as appropriate
  • Active monitoring in support of compliance with information barriers
  • Supporting the eCommunications program regarding policy reviews and escalated items
  • Providing AMC management with information on current trends and issues recognized during assignments and recommend plans for improvement.

Requirements

  • Bachelor's degree with 1-2 years’ experience in a financial services environment preferred
  • A teammate with good interpersonal skills and the ability to work collaboratively across departments
  • Strong organizational skills with a proven track record to multi-task with an attention to detail
  • Sound decision-making ability and risk management skills
  • Strong problem solving and analytical skills and the ability to be flexible in a fast-paced, changing environment
  • Skills to communicate effectively, influence and solve problems with a variety of business partners
  • Able to identify key opportunities for improvements in process through technology solutions.
Benefits
  • Health insurance
  • Retirement plans
  • Paid time off
  • Flexible work arrangements
Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools
data compilationregulatory reportingrisk managementproblem solvinganalytical skillsprocess improvementinformation barriers monitoringeCommunications program support
Soft Skills
interpersonal skillscollaborationorganizational skillsmulti-taskingattention to detaildecision-makingflexibilityeffective communicationinfluenceproblem-solving
Certifications
Bachelor's degree