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Job Description
As a Compliance Associate, you will be a contributing member of the Venerable Investment Advisers, to provide support and monitor various key processes and regulatory functions of the LLC Compliance team. Specific responsibilities include:
- Collaborate with various team members, gather and manage data from multiple internal and external sources in support of the Adviser’s business operations and periodic compliance deliverables. Conduct appropriate follow-up to resolve issues or findings and respond to third party requests for documentation.
- Monitor employee electronic communications
- Maintain and organize the firm’s compliance calendar and regulatory books and records
- Maintenance of the Code of Ethics monitoring system, including the deployment and review of the initial, quarterly and annual required certifications.
- Review employees’ personal securities transactions and potential conflicts of interest for compliance with the Code of Ethics, outside business activities, gifts and entertainment, political contributions and other areas of potential conflicts
- Track service provider compliance with policies and procedures by coordinating materials for the weekly/monthly/quarterly monitoring process
- Support risk assessment process by conducting annual and periodic compliance testing
- Assist in the preparation of presentation and training materials to employees, Governance Committees and Board
- Assist CCO and Compliance Manager in third party manager and vendor oversight through the preparation and distribution of operational and compliance due diligence questionnaires
- Support the preparation of quarterly and annual reports to the Governance Committee and Trust CCO
- Assist in the preparation of risk assessments, service provider reviews, preparation of regulatory filings, and maintenance of compliance manual.
- Maintain strong and transparent communication channel with all departments and staff
- Knowledge of the Investment Advisers Act of 1940 and Investment Company Act of 1940
- 3-4 years of prior financial services (RIA or RIC) compliance experience
- Strong PC skills: proficiency in Excel, Word and PowerPoint
- Experience with employee compliance monitoring systems (preferably ComplySci, Global Relay)
- Demonstrated ability to identify, evaluate and escalate issues
- Positive attitude, highly motivated, attentive to detail
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Venerable Values:
Every position at Venerable has responsibility for living out the company's values as described here:
We are Courageous - We think critically, ask "why?" and seek out creative solutions.
We are Curious - We take calculated risks, learn from out failures, and challenge traditional ways of thinking.
We are Connected - We are connected to each other, our customers and our community.
