Pathstone is a dynamic, rapidly growing, partner-owned wealth management firm that serves ultra-high net worth families, single family offices, and foundations and endowments. The Senior Associate, Compliance role supports the firm's Compliance Department by monitoring regulatory changes, ensuring compliance with current regulatory requirements, and promoting a strong compliance culture within the organization.
Requirements
- Monitor regulatory changes affecting investment advisers and help implement required changes.
- Ensure the firm's policies and procedures comply with current regulatory requirements and are effectively implemented.
- Promote a strong compliance culture within the organization.
- Prepare for and support regulatory examinations and audits.
- Support the Compliance team with administrative activities and tasks.
- Assist with team onsite meeting agendas, scheduling of sessions, and team events, etc.
- Provide additional support on special projects as needed.
- Check and respond to email as necessary.
- Co-author, edit, and proofread written communication.
- Schedule Compliance Team meetings (trainings, onsite visits, project meetings, reviews).
- Maintain organized electronic files for Pathstone's documents.
- Assist with both internal (employee) and external (auditors, vendors, consultants) inquiries and requests.
- Help with surveillance, monitoring, and testing as part of the firm's holistic compliance program.
- Manage the review process of marketing materials for compliance with the SEC's Marketing Rule – provide direct feedback, check to be sure feedback from others has been incorporated, and manage the approval workflow.
Benefits
- Comprehensive medical, vision, and dental coverage
- Flexible spending
- Flexible PTO
- Life insurance
- Education support
- 401k plan
- Parental leave
