The Senior Compliance Associate will work as part of a team to maintain the compliance program for the investment adviser and report directly to the CCO.
This role is located in our West Chester, PA office, where we work in a hybrid model in the office 3 days per week, and remote 2 days per week.
- Collaborate and assist the Chief Compliance Officer in the design, development, and management of the Compliance Program.
- Manage tasks documented withing the compliance calendar.
- Ensure timely preparation and accurate filing of regulatory filings.
- Assist the CCO in the development of controls to mitigate risks and the maintenance of risk and conflicts assessments.
- Maintain the compliance manual to include revision and creation of policies and procedures as needed.
- Gather and manage data from multiple internal and external sources in support of the Adviser’s business operations.
- Design, conduct and document annual and periodic compliance testing and related surveillance. Provide results and collaborate with other members of the team to identify potential areas of risk, recommend corrective action for any test exceptions and resolve and document any findings.
- Support the preparation of annual reports to the Governance Committee and Trust CCO.
- Assist in the preparation of materials to Governance Committees and Board.
- Assist with the preparation and submission of responses to regulatory exams.
- Support the CCO in providing advice and guidance to staff on regulatory best practices and make suggestions for the continual improvement and development of the program.
- Keep abreast of regulatory developments and identify requirements related to the Adviser’s business.
- Enhance knowledge of compliance, apply knowledge and make independent judgements on matters of significance.
Knowledge, Skills, & Abilities:
- 5-7 years relevant compliance experience at a registered investment adviser.
- Experience working in the investment management industry. Knowledge of the Investment Advisors Act, Investment Company Act and the rules and regulations governing SEC registered investment advisers
- Excellent organizational skills
- Self-starter, ability to multi-task and prioritize across a range of projects including both substantive and routine tasks.
- Proficient at time management and meeting deadlines
- Aptitude for understanding and assessing risks
- Knowledge of investment products, financial markets and investments, adviser and registered product regulations
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Venerable Values:
Every position at Venerable has responsibility for living out the company's values as described here:
We are Courageous -
We think critically, ask "why?" and seek out creative solutions.
We are Curious - We take calculated risks, learn from out failures, and challenge traditional ways of thinking.We are Connected - We are connected to each other, our customers and our community.
