Compliance Generalist

About The Company

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Our client is a global investment manager specializing in liquid real assets within real estate, infrastructure, and natural resource equities. They are seeking a Compliance Generalist who will assist in the firm’s compliance program, personal trading policy, reviewing electronic messages, back-end reporting, and reporting to senior management.

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Responsibilities

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• Schedule meetings, maintain calendars, prepare departmental invoices, and prepare expense reports for reimbursement
• Support Compliance department as it relates to general administrative related functions
• Coordinate and arrange travel and handle incoming mail
• Conduct compliance reviews, testing, and monitoring of compliance policies and procedures
• Update weekly email counts and perform electronic message review
• Assist with administration of the firm’s personal trading policy, including monitoring employee personal trading activities, resolving exceptions, and maintaining satisfactory records using an automated personal trading system

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Requirements

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• Bachelor’s degree required
• 1-3 years of experience in a compliance administrative/generalist role
• Experience with order management systems a plus
• Series 7 required

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Salary Range

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$110,000-$120,000