Associate Compliance Officer And Operations Associate

About the Firm

We are a value investing firm consisting of a registered investment adviser, two private funds, and a broker-dealer. We have over four decades of experience as an independent organization with roots that extend back to the earliest days of value investing. We generally serve high-net-worth individuals and their families as well as institutional investors with our research-driven, long-only value investing strategy seeking superior returns on capital while limiting the risk of permanent loss. We are also a service-oriented firm that is highly responsive to client needs and priorities and which provides considerable personal attention to those we serve.

Job Summary

Your job, as Associate Compliance Officer and Operations Associate, is to assist our Chief Compliance Officer and operations staff in facilitating the compliance and general operations of our firm. You will be responsible for helping monitor the firm’s compliance program for our registered investment advisers and broker-dealer and performing regular duties attendant to the compliance programs of our regulated entities. You will also be responsible for participating in the routine operations execution of our firm. Your knowledge of industry compliance practices, firm policies and procedures, operations protocols, and standard technologies will enable you to perform your compliance and operational tasks, interface with clients and resolve issues that arise in the course of the compliance and Operations of the firm. In fulfilling your role, you will on a proactive basis maintain risk awareness and regulatory knowledge and support and drive improvement in our compliance and Operations.

The individual in this role will have the potential to grow into a senior position in compliance and Operations over time. With this in mind, the firm is seeking individuals who have the knowledge, training, competencies and motivation to grow into a position of greater responsibility and seniority within the organization as they excel within their role.

Key Tasks

The key tasks related to your role as an Associate Compliance Officer will include:

- Liaising with our compliance consultant and Chief Compliance Officer to further the implementation of our compliance programs

- Assisting with our annual compliance meeting and participating in quarterly compliance calls

- Maintaining and being knowledgeable about both our Policies and Procedures and our Written Supervisory Procedures

- Facilitating annual Firm Element Training and Continuing Education

- Tasks related to ADV filings, Form CRS and Reg B.I.

- Tasks related to Form 13F and Form 13G Filings

- Tasks related to broker-dealer firm and employee filings, including Focus Reports, Form BD, U4s, U5s and NRFs

- Ensuring proper retention of trading and best execution records

- Tasks related to Consolidated Audit Trail

- Assisting with routine AML tasks

- Tasks related to regular email reviews

- Tasks related to monitoring employee outside accounts

- Tasks related options and MSRB rules

- Monitoring for SEC and FINRA messages, alerts and notifications

- Facilitating state licensing renewals

The key tasks related to your role as an Operations Associate will include:

- Facilitating and approving deposits, withdrawals and ACATs as appropriate, given licensing

- Tasks pertaining to account administration

- Processing account service requests and ensuring appropriate documentation

- Assist clients with documents concerning their portfolios, taxes, money movement and more

- Respond to client needs and inquiries as a part of a larger team

Qualifications and Skills

- Bachelor’s Degree or equivalent

- Minimum of 3 years of compliance experience

- Minimum of 2 years of operations experience

- Series 7 highly preferred

- Series 24 highly preferred but not required

- Strong written and verbal communication skills

- Proficient with Microsoft Office Suite and Adobe Pro

- Familiarity with common cloud-based platforms

- Experience with portfolio management reporting software (e.g. Advent, Addepar, Tamarac) highly preferred

- Familiarity with Pershing’s NetX360 platform preferred

Essential Traits

- Strong organizational skills and ability to track multiple tasks at different stages of completion

- Ability to take ownership of key tasks assigned to you and ensure correct execution

- Consummate team player who can collaborate and work effectively and collegially with others in a team environment

- Desire to grow within the organization and take on more responsibility with time

- Desire for continual improvement and a mindset of learning and growth

- Flexibility and openness to assume different tasks and responsibilities within a small team

Compensation and Benefits

- $90,000 - $130,000 per year plus bonus (firm has strong history of providing bonus compensation to employees)

- Health Insurance available with premiums paid by the firm

- Eligibility to participate in the firm’s retirement plans with contributions by the Firm and by employees.

Job Type: Full-time

Pay: $90,000.00 - $130,000.00 per year

Benefits:

• 401(k)
• Health insurance
• Retirement plan

Schedule:

• Monday to Friday

Experience:

• Compliance: 3 years (Required)
• Operations: 2 years (Required)

License/Certification:

• Series 7 (Preferred)
• Series 24 (Preferred)

Work Location: In person