Jan 15, 2024

Regulatory Compliance Associate

  • Investment Adviser Association
  • Hybrid (Washington D.C., DC, USA)
Full time Compliance

Job Description

The Investment Adviser Association (IAA), the leading association dedicated to advancing the interests of investment advisers, is seeking a full-time Regulatory Compliance Associate.

Founded in 1937 as the Investment Counsel Association of America, the Investment Adviser Association is a not-for-profit organization that has exclusively represented the interests of fiduciary investment adviser firms for more than eight decades — including playing a major role in the enactment of the Investment Advisers Act of 1940, the federal law regulating our industry.

IAA members range from global asset managers to the medium- and small-sized firms that make up the majority of our industry. Together, the IAA’s members manage more than $35 trillion in assets for a wide variety of clients, including individuals, trusts, investment companies, private funds, pension plans, state and local governments, endowments, foundations, and corporations.

Position Summary

The Regulatory Compliance Associate is responsible for developing and maintaining regulatory and compliance resources, supporting IAA members on compliance issues affecting fiduciary investment advisers, providing education on regulations, and supporting the IAA Legal Team. 

Detailed Responsibilities 

  • Develop and maintain compliance resources in the IAA Resource Center to assist members in their implementation of and compliance with laws and regulations affecting fiduciary investment advisers
  • Lead or assist IAA attorneys with compliance-related IAA member groups
  • Assist IAA attorneys with regulatory and compliance matters
  • Communicate with members, associate members, and the investment adviser community on regulatory and compliance issues
  • Assist with and participate in educational events, including conferences, compliance workshops, and webinars
  • Support the Legal Team as needed

Requirements

  • Bachelor’s degree. Comparable relevant work experience will be considered; current or past compliance certifications or designations (e.g., FINRA Series 65, IACCP, etc.) a plus
  • At least 5 years of recent hands-on compliance experience related to the Investment Advisers Act of 1940, preferably with an SEC-registered investment adviser, a compliance consultant, or a securities regulator
  • Significant substantive expertise drafting and implementing compliance policies and procedures that apply to investment advisers
  • Excellent analytical, written, oral, and presentation skills 
  • Excellent project and time management skills with ability to handle multiple tasks at the same time and consistently meet deadlines
  • Strong ethical standards and good judgment
  • Strong desire to serve the IAA’s mission and the needs of its members

More Details

The salary is negotiable with room for professional growth. Outstanding benefits package offered. Salary and benefits will be discussed on initial interview. The IAA currently offers a flexible, hybrid work arrangement with the office located on Connecticut Avenue NW in Washington, DC. This position will be considered hybrid with time both in the office and remote. The IAA is a great place to work, with a strong collegial environment and historical employee longevity. Consider becoming an integral part of the IAA team!

Applications will be considered on a rolling basis with a deadline of February 29. No telephone calls please. EEO. No recruiting agencies.  For this particular position, we are requesting a short, self-written cover letter specifically addressing how you meet the requirements of this role. 

 


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