Independence Compliance Associate 1

Essential Duties

Supports the review and monitoring of personal independence tracking system and restricted securities lists

Serves as a point of contact to respond and support firm personnel with inquiries related to the investment tracking system and point of contact to liaise between the firm and the vendor

Participates in the overall Personal Independence Assessment (PIA) process including performing assessments

Assists with monitoring and administrative tasks for Annual Independence Survey and New Hire Independence Survey

Monitors shared personal independence compliance mailbox; responds to related inquiries; teams with personal independence compliance team to provide timely, effective service related to personal independence compliance matters for firm personnel

Supports the personal independence team with other ad hoc requests including acquisition activity, reporting, and other tasks as assigned

EDUCATION/CERTIFICATIONS

Bachelor's degree REQUIRED

TECHNICAL/SOFT SKILLS

Proficiency with Microsoft Office (Excel, Word, Outlook)

Ability to read and apply rules, regulations, policies and procedures

Ability to evaluate information against a set of standards

Ability to develop and maintain applicable professional and internal contacts, resources and networks

Ability to maintain confidentiality and discretion with respect to internal information

Exhibit high attention to detail

EXPERIENCE

2-4 years of experience in a compliance preferred

Previous compliance experience in a professional services environment preferred

LEADERSHIP SKILLS

Ability to communicate information clearly and concisely, verbally and orally to diverse audiences across the firm and to outside professional contacts

Demonstrate passion, enthusiasm, and proactivity

Ability to manage and prioritize multiple projects with various deadlines for multiple supervisors

Ability to work both independently and within a team

Proactive, self starting

Willingness to learn in a fast paced environment

Location -