Compliance Administrator

Summary:
Responsible for completing appropriate filings to ensure that the firm is in compliance with regulatory requirements. Reviews fund and client account activity to detect potential compliance problems. Responsible for monitoring compliance with the firms Code of Ethics for Personal Trading. Provides administrative assistance to the Chief Compliance Officer. Monitors trading activity and client account objectives restrictions. Participates in Advisers annual audit.
Duties and Responsibilities:
o Administers and Monitors the Firm's Code of Ethics for personal trading.o Maintains and establishes client objectives/restrictions in the trading system Soft Dollar tracking and reporting.o Establishes and maintains compliance files and records including product/account documentation.o Preparing and filing 13F and other required regulatory reports.o Maintains and reviews proxy voting.o Assists with 15C requirements.o Administers and monitors all annual mailing requirements, I.e. privacy policy, proxy policy and ADV annual solicitationo Conducts and maintains records pertaining to the annual compliance audit.
REQUIREMENTS
Skills and Knowledge:
o High school degree required; college degree preferred and two to five years securities industry compliance experience or completion of a certified compliance professional program.o Word processing (Microsoft Word) Spreadsheet (Microsoft Excel) Windows proficient.o Strong organizational and interpersonal skills; detail oriented; ability to prioritize and handle multiple demands.o Self starter with initiative; phone etiquette; and basic math skills.