WHO WE ARE
Aberdeen Investments is part of Aberdeen Group plc, one of the UK’s leading Wealth & Investments groups. Strengthening talent and culture is one of our strategic priorities. We strive to make Aberdeen a great place to work so that we can attract and retain the industry’s best talent. Our people put our stakeholders at the heart of everything they do by helping us to make a positive difference to the lives of our clients, customers, colleagues, shareholders and society. We are repositioning our specialist asset management business to meet client demand and are committed to providing excellent client service, supported by leading technology and talent.
As a global business, Aberdeen consists of three divisions: Investments, Adviser, and interactive investor (ii). Each division is dedicated to meeting and adapting to our clients' evolving needs.
In the Americas, our sole focus is on the investments business. We have offices in Philadelphia, New York, Boston, Miami, and Sao Paolo. Our breadth of experience gives us close proximity to the companies we invest in and the markets we operate in.
POSITION OVERVIEW
We are seeking a Risk and Compliance professional responsible for assisting broader team in distribution-compliance related matters, with a focus and background in marketing material review, broker-dealer regulatory compliance, cross border distribution compliance, and anti-money laundering (“AML”). The role will have the opportunity along with internal candidates to grow into a senior Compliance Officer role within the Distribution Compliance team.
KEY RESPONSIBILITIES
- Perform review of marketing materials in line with Aberdeen policies and regulatory framework (SEC, FINRA and other applicable regulations and standards)
- Perform email review for employees of the investment adviser and broker-dealer
- Assist in the coordination of broker-dealer and registered representative regulatory and compliance framework
- Assist in cross-border distribution oversight, including coordination with colleagues in APAC and UK/EMEA
- Contribute to AFD’s regulatory responsibilities and obligations, including performing analysis of applicable existing, proposed and new regulations and testing efficacy of the broker-dealer compliance program
- Assist in ensuring local and Group AML compliance with regulatory and firm policies, including customer due diligence and know-your customer requirements with particular attention on US and Cayman Island regulations, requirements and standards
- Ad hoc projects as they may arise within Risk & Compliance-Americas
QUALIFICATIONS
- Bachelor’s Degree required
- 3-5 years’ experience working in the investment management industry
- SIE and Series 7 required with an expectation of obtaining the Series 24 within 90 days of start date
- Proficient with Microsoft Excel, Word and Power point; knowledge of Adobe Pro, Bloomberg Vault and Microsoft Purview is a plus
- Ability to prioritize, plan, and take initiative
- Analytical skills and ability to respectfully challenge when necessary
- Strong written and oral communications skills
- Occasional travel and overnight stays may be required. 3 days minimum per week in the office is required.
WHAT WE OFFER:
- Best in class Medical, Dental, and Vision plans with well-known carriers; Telehealth and Health Concierge services.
- Health, Dependent and Commuter Flexible Spending Plans.
- Employer provided Life Insurance, Critical Illness Insurance, Short Term and Long-Term disability with additional optional coverage options.
- Investing for your Future - 401(k) Retirement Savings plan with top notch company Profit Sharing contribution which is immediately vested!
- Generous time off starting day one with 4 weeks annual vacation plus 9 paid holidays.
- Paid Parental, Adoption, and Family Sick/Caregiver leave programs.
- Volunteer Days and Study Time to focus on what is important to you!
- Make a donation to your favorite Charity and Aberdeen will match up to $500 per year!
- Employee Assistance, Travel and Discount Programs. From helping you navigate the healthcare system, to providing resources and assistance to parents and caregivers of children with development disabilities.
- Flexible, voluntary benefits including Accident Insurance, Identity Protection, and Legal Assistance.
- Wellness program including Nutritional Counselling and Gym Membership Reimbursements.
HOW WE CREATE VALUE:
- Our strategic drivers are the foundations from which we deliver for all our stakeholders: High Impact Intelligence, Enduring Relationships, Connections without borders and Future fit. You can find out more about our values here.
OUR INCLUSIVE CULTURE:
- We are committed to exploring the possibilities of working smarter. This means we’d like to hear from you, whatever way you like to work.
- We have a long-term commitment to building inclusive workplaces; we value diversity in our workforce and welcome enquiries from everyone. If you need assistance or a reasonable adjustment due to a disability please let us know as part of your application and we will assist. You can find out more about our inclusive culture here.
- Aberdeen is an affirmative action - equal opportunity employer.
We are an affirmative action - equal opportunity employer. We’re committed to providing an inclusive workplace where all forms of difference are valued and which is free from any form of unfair or unlawful treatment. We define diversity in its broadest sense – this includes but is not limited to our diversity of educational and professional backgrounds, experience, cognitive and neurodiversity, age, gender, gender identity, sexual orientation, disability, religion or belief and ethnicity and geographical provenance. We support a culture that values meritocracy, fairness and transparency and welcomes enquiries from everyone.
If you need assistance or an adjustment due to a disability please let us know as part of your application and we will assist.
