SANNE is looking for a proactive and driven Compliance Associate. Are you decisive, highly analytical, and motivated by accuracy? Are you a self-starter who takes great pride in doing things the right way – not just the fast way? Do you refuse to settle for mediocrity? Are you ready to join a team that consists of top performers?
We take great pride in hiring only the best professionals and giving them the keys to build something great. We value and recognize individual contributions and welcome ideas that push the envelope to make our company and work product superior. We do not put people in a box. If you pride yourself on wanting to lead and build something great, we’d like to meet.
We are looking for someone that possesses strong technical knowledge and the ability to understand investments, along with an understanding of how to build long-lasting relationships. This position will be responsible for assisting the Director of Legal and Compliance in the administration of the SANNE Compliance Program for a variety of private equity and hedge fund clients.
- Conduct personal trading reviews for clients
- Prepare regulatory filings for clients, including Form ADV and Form PF
- Review client advertising and marketing material
- Prepare employee attestations for client distribution
- Review client gifts and entertainment logs
- Review client political and charitable contribution logs
- Monitor client employee public positions and outside business activities
- Assist with compliance manual testing and revisions
- Aid in preparing annual compliance training materials
- Perform electronic communication keyword searches
- Track and monitor SANNE Compliance Program progress for clients
- Assist with other compliance functions as they arise
- Manage new technology implementation
- Restricted List Monitoring and Rules Maintenance for SMAs and mutual funds
- Adding security restrictions at a firm level for material non-public information situations
- 15(c) reporting and other monthly or quarterly IPS/Compliance reporting related to investment guidelines
- Bachelor’s degree required
SPECIALIZED SKILLS AND EXPERIENCE
- 1-3 years’ experience in financial services back-office functions, ideally Hedge Fund and Private Equity regulatory compliance experience, although will consider accounting, investor services, policy, audit or similar process-driven and detail-oriented experience in financial services
- Proven ability to work under pressure and meet deadlines
- Strong written and verbal communication skills
- Frequent and clear communication, both written and oral
- Ability to work in a fast-paced, team-oriented environment
- Exposure to the Investment Advisers Act of 1940 is a plus, but willingness to learn and advance one’s knowledge of regulatory issues is key
- Strong technical ability and exceptional interpersonal skills
PERKS & BENEFITS
- Annual tuition reimbursement
- Bonus upon passing the CPA or bar exam
- 401(k) Plan with matching
- Full health benefits
- Complimentary on-site gym access with showers and full amenities
- Remote working arrangements
- New Hire Buddy Program
- Team trips and outings
- New hire PTO – 20 + 1 “You” Day
- 12 hours PTO for community service
- 10.5 paid holidays per year
- Paid parental leave
- Adoption Assistance Program
- Employee-led committees
- Commuter cost benefits
- Ongoing training – cross departmental, leadership, soft sills, etc.
- 24/7 Employee Assistance Program to assist with wellness, stress management, emotional distress, etc.
- Walkability to Whole Foods, restaurants, shopping, NorthPark Mall and DART
- Ongoing learning opportunities via SANNE University, LinkedIn Learning, events and Amazon eBooks
- 100% SANNE-paid Life, Personal Accident, Short-Term and Long-Term Disability Insurance
- Discounts on stores, services, products and tickets
- Complimentary parking
- Professional development
- Quarterly Book Club (features leadership topics designed to expedite and support professional growth and development)
- Available curriculum for external leadership programs (i.e. Stagen – https://stagen.com/)
- Technical training (i.e. FIS Expert Led Training)
- Industry training and speakers
- Continued education support
- Meetings with Managing Partner to discuss individual career advancement plans
- Quarterly executive breakfasts and Q&A sessions
- Professional Development Roadmap detailing expectations at every level of the career path
SANNE is a leading global provider of alternative asset and corporate administration services. Established for over 25 years and listed on the Main Market of the London Stock Exchange, SANNE engages with over 1, 200 people worldwide and has in excess of £200 billion assets under administration.
As leaders in our field, SANNE delivers tailored fiduciary services to a highly valued international client base through a global network of regulated businesses within 15 leading financial jurisdictions.
Each specialist business is led by directors with extensive asset and market experience who are in turn supported by multifunctional teams aligned to the specific requirements of each client, across one accredited platform.
For more information about SANNE please visit www.sannegroup.com.