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Fort Worth, United States

Compliance Associate

Full-time / part-time
Full-time
Level
Entry Level
Department
Risk & Compliance
Address
Summit Avenue
Fort Worth
76102
United States

Job description

You will be facilitating our service offering by assisting in the performance of, and being responsible for, among other things

  • Assisting in the monitoring and maintaining of compliance programs for clients to ensure compliance with federal securities laws, including the Investment Advisers Act of 1940, as amended
  • Conducting forensic testing and verification of internal controls for clients to comply with prevailing rules and regulations
  • Assisting with managing clients’ registrations with applicable regulators, including the SEC and CFTC
  • Assisting with preparing and maintaining Form ADV
  • Assisting in drafting regulatory policies and procedures
  • Analyzing clients’ trading practices, including evaluating personal securities transactions
  • Ensuring all compliance violation reports are properly investigated and appropriate action is taken and documented, including adherence to client policies and procedures 
  • Analyzing the regulatory environment for updates that might apply to clients
  • Assisting in conducting quarterly forensic compliance program testing, including performing ongoing reviews based on the clients’ written policies and procedures
  • Assisting in drafting and filing various regulatory forms and schedules for clients 
  • Assisting with regulatory examinations of clients’ compliance programs conducted by regulatory authorities, including the SEC, NFA and various state securities boards
     

Qualifications

 

  • Bachelors degree
  • Analytical, technical, and technology skills with proficiency in basic office software, including Excel and Word
  • Must be able to demonstrate strong organizational and problem-solving skills with attention to detail
  • Must be able to demonstrate strong oral and written communication skills
  • Dedicated to upholding first-class standards and exceptional customer service focus
  • Strong analytical skills with the ability to exercise discretion and make independent judgments on matters of significance for Blue River and/or Blue River clients
  • Dependable, flexible and adaptable to changing client needs and initiatives;
  • Ability to work well in a fast-paced environment
  • Must be able to work independently, multi-task and prioritize effectively
  • Highly motivated and goal oriented
  • Ability to establish and maintain effective working relationships with employees and clients
  • Ability to analyze industry regulations; adapt and develop policies and procedures to meet compliance requirements

Additional information

All your information will be kept confidential according to EEO guidelines.

Company description

Blue River Partners, LLC is the preeminent outsourced service provider to the alternative asset management industry. We provide innovative back-office solutions to asset managers across the full spectrum of structures, strategies and asset classes.

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