Compliance Associate

  • Engine No 1 LLP
  • Onsite and Remote
  • Aug 26, 2021
Full time Finance Legal Technology

Job Description

Position Description
Engine No. 1 is seeking a highly ethical, teamwork driven compliance professional to provide value to the Legal and Compliance Division of Engine No. 1. The successful candidate will enjoy working in an open and transparent environment in which diverse experience, skill sets and individuals can team together to drive optimal outcomes while supporting, respecting and cooperating among all. In addition, they will contribute to an environment of teamwork, having fun and being around people who are proud of what they do and are trying to achieve.
Responsibilities
The individual will be involved in the following critical activities:

  • Monitor compliance with the Firm’s Code of Ethics (e.g., employee personal trading, outside activities, political contributions and gifts and entertainment).
  • Along with the Chief Compliance Officer (CCO) or Deputy Chief Compliance Officer (DCCO), maintain the Firm’s restricted list
  • Maintain the compliance calendar and track project and compliance plan deliverables
  • Provide compliance onboarding for new hires and support the overall compliance training program
  • Help with any compliance training preparation for firm employees under the guidance of the CCO or DCCO
  • Support the compliance risk assessment process and the compliance testing program
  • Provide data entry assistance and data quality support for regulatory filings (Form ADV, Form PF, 13 Series filings, etc.).
  • Collaborate with various teams in gathering information for regulatory examinations, internal audits, and regulatory investigations and inquiries
  • Provide ad-hoc reporting, as needed by the CCO or DCCO, on items related to soft-dollar data and reporting
  • Participate and listen in on expert network calls, as needed, an in the absence of the CCO or DCCO
  • Assist with necessary preparation of filings related to AIFMD and offshore registrations
  • Assist with necessary preparation of filings related to non-US investments and local FIIs, if applicable
  • Assist with supporting the firm’s AML policies and procedures
  • Help with gathering information, as required by the COO or DCCO, on items related to counterparty and service provider services and ongoing reviews
  • Assisting with the fielding and logging of customer complaints
  • Fact-finding, upon the direction of the CCO or DCCO, on new compliance-themed industry requirements and risk alerts
  • Perform other related duties and ad hoc projects as assigned

Education, Skill And Experience Requirements
The ideal experience and critical competencies for the role include the following:

  • Bachelor’s degree or equivalent. Advanced degrees are not necessary but welcome.
  • One to four years of compliance experience with private equity funds, hedge funds, registered-investment companies, prime brokerage, compliance consulting or paralegal experience at a large law firm
  • General familiarity with the Investment Advisers Act of 1940. Investment Company Act familiarity is welcome
  • Base understanding and knowledge of ethical practices and standards in the financial services industry
  • General knowledge of investment firm compliance practices and protocols
  • Capability of fostering a “Culture of Compliance” as an example of the firm
  • Aptitude to escalate compliance risk items, as needed, to the CCO or DCCO
  • Excellent PC skills including strong proficiency in: Word, PowerPoint, SharePoint and Excel
  • Strong writing skills with the ability to summarize and digest content quickly and clearly
  • Detail oriented with strong analytical and problem-solving skills, including project management
  • Ability to multi-task effectively

Location

  • San Francisco or New York

Engine No. 1 is an Equal Opportunity Employer.