Senior Compliance Associate, Policies & Education

• The Senior Compliance Associate, Policies and Education, will play a pivotal role in designing a high-quality compliance training program to educate employees on regulatory requirements and changes applicable to the organization. This individual will collaborate with business counterparts to develop or update compliance policies and will work closely with senior leadership on reporting to boards and clients. Strong interpersonal and communication skills are essential.

  Responsibilities

  • Design, implement, and manage a comprehensive compliance education program for employees, including creating materials, conducting training sessions, and tracking completion.

  • Collaborate with internal departments and third parties to ensure training content is engaging, relevant, and aligned with the organization’s values.

  • Develop, review, and refine policies and procedures in compliance with regulatory frameworks, including the Investment Company Act and the Investment Advisers Act.

  • Stay informed on regulatory updates and ensure policies and practices remain current with industry standards.

  • Assist senior compliance leadership in preparing reports for boards, management, and regulatory authorities.

  • Support ad hoc projects and other compliance-related initiatives as needed.

  Qualifications

  • Bachelor's degree required.

  • At least five years of compliance experience in the asset management industry, with a focus on the Investment Company Act and the Investment Advisers Act.

  • Proven expertise in developing and delivering compliance training programs.

  • Strong writing skills with the ability to create clear policies, procedures, and reports.

  • Highly organized and detail-oriented, capable of managing multiple tasks and meeting deadlines.

  • Excellent communication and interpersonal skills, with the ability to interact effectively across all levels of the organization.