Job Description
At Choreo, we are passionate about improving the well-being of our clients, their families, our teammates, and everyone in our communities. For over 20 years, we’ve worked to meet the financial planning needs of our clients with a coast-to-coast footprint of 39 offices and counting. Empowered by technology and inspired by equality, we are here to serve our clients beyond what is expected and help them achieve their future.
The Compliance Associate will join the Legal and Compliance team at Choreo to support the regulatory compliance of a growing wealth management firm that is registered with the U.S. Securities and Exchange Commission. In addition to working with the Compliance team, the Compliance Associate will have the opportunity to interact cross-functionally to support the advisors and other corporate teams at the firm. The ideal candidate will have experience with a SEC registered investment adviser.
Primary Responsibilities:
- Code of Ethics Administration
- Serve as primary point person for administration of MyComplianceOffice
- Oversee the maintenance/operation of MyComplianceOffice and any system upgrades
- Insurance Business
- Serve as primary point person working with third-party vendor on insurance licensing
- Monitoring, Review and Oversight
- Monitor and review employee emails in GlobalRelay
- Assist with quarterly compliance testing
- General Compliance or Corporate Matters
- Support the Compliance team by taking and finalizing minutes of various committee meetings
- Maintain files for Compliance and Risk Management Committee meetings
- Assist with any regulatory examinations or inquiries.
- Assist with annual compliance meeting, new hire onboarding, and other compliance training initiatives, including serving as a technical resource on compliance related processes and procedures.
- Support merger and acquisition due diligence and onboarding efforts.
- Assist with corporate secretary of state filings for various Choreo entities.
- Perform licensing and registration functions related to WebCRD and/or IARD submissions.
Basic Qualifications:
- 3-5+ years of investment adviser compliance or other relevant experience.
- Bachelor’s Degree
- Strong written and oral communication skills
- High level of interpersonal skills to handle sensitive and confidential situations
- Professional demeanor in both low stress and highly charged situations
- Experience using Black Diamond portfolio accounting system, Salentica CRM, MyComplianceOffice, and Global Relay
- Strong ability to work both independently and work effectively with a team
- Effective problem resolution and change management skills
- Judgement and ability to prioritize to effectively manage workload
Employee Benefits
At Choreo, we provide a holistic, total reward offering to empower our teams in their professional and personal lives. We seek to provide employees with benefits that place an emphasis on health, happiness, and financial security. Here is what we offer:
- Competitive salary and bonus plan
- Competitive medical, dental, and vision plans
- Basic life and disability coverage
- 401(k) matching program
- Financial support for approved designations and courses
- Technical, leadership, sales training opportunities
- Unlimited, discretionary time off
- Paid parental leave
Choreo is an equal opportunity employer. We are committed to fostering, cultivating, and preserving a culture of diversity, equity, and inclusion.
Date Posted
06/17/2023
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