ACG Resources

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Job Ref: 14497

Salary: $120000 – $180000

Compliance Associate or VP 
Report to the Chief Compliance Officer (CCO). The role is designed to assist in all matters related to compliance with both US and non-US regulations, companies Registered Investment Advisory and Wealth Management business. Candidate will help administer and enhance compliance program, including compliance with code of ethics, regulatory filings and forensic testing. The candidate should have practical judgment and ability to properly identify and escalate regulatory and compliance issues.


  • Track and review marketing materials for compliance with the Advisers Act and UCITS requirements (includes fund factsheets, pitch-books, press releases, KIIDS, PRIIPS, etc.)
  • Code of Ethics compliance, including ongoing monitoring and approval of political contributions, social media accounts, outside business activities, personal trading (and reconciling data across two systems for Registered Reps)
  • Review AML/KYC requests from brokers
  • Assist with oversight of Registered Representatives, including U4 reviews, state rosters, review and reporting of gifts/entertainment
  • Ongoing oversight of service providers, including sub-advisers, fund administrator, distributor and custodian
  • Manage and update compliance calendar and risk assessment matrix to reflect regulatory and internal requirements
  • Contribute to the design and monitoring of compliance forensic testing program
  • Assist with incoming DDQs as well as checklists for Trust CCO and Management Company
  • Undergraduate degree required
  • 3-5 years of experience with Investment Company Act, Investment Advisers Act, SEC, UCITS and/or FINRA Regulations 
  • Knowledgeable with systems used to monitor Code of Ethics compliance and/or investment guideline compliance (STAR Compliance a plus)
Salary Range:
Depending on experience and level
100k to 180k
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