About the Position
The Senior Associate – Compliance will be an integral member of the firm’s compliance program, ensuring firmwide adherence to regulatory requirements. This is an opportunity for an analytical, detail-oriented professional to help foster a culture of compliance across the organization. In addition to the responsibilities listed below, this individual will perform other duties as assigned. There is no supervisory responsibility related to this role.

Key Responsibilities

• Portfolio Compliance Monitoring: Maintain the compliance front-end of Champlain’s order management system and review weekly and monthly compliance reports to ensure accounts are being run according to client guidelines and restrictions.
• Regulatory Filings: Ensure the timely and accurate completion of all necessary regulatory filings including Regulation D, Section 13, Form PF and Form ADV filings.
• Compliance Testing: Assist in conducting ongoing weekly, monthly, quarterly, semi-annual, and annual compliance testing.
• MyComplianceOffice Administration: Oversee and administer processes facilitated by MyComplianceOffice.
• E-Surveillance: Administer the firm’s email surveillance program, including the development of smart searches, and assignment of compliance team responsibilities to detect any potential fraud, insider trading, misuse of client information, or any other compliance or regulatory issues.
• Risk Management: Maintain on an ongoing basis the firm’s risk assessment and participate in the completion of the annual compliance review.
• Compliance Training: Collaborate with the Chief Compliance Officer in the development and delivery of annual compliance training.
• Policies and Procedures: Maintain Champlain’s compliance manual and Code of Ethics, as well as documenting meaningful procedures.
• Monitoring Regulatory Changes: Monitor for regulatory changes and keep up with industry best practices through attendance at conferences and regulatory outreach seminars, as well as topic-specific training provided through online webinars and other methods.
• Regulatory Interaction: Collaborate with the Chief Compliance Officer in preparing for all interactions with regulators and any mock exams.
• Strategic Initiatives: Participate in strategic initiatives to ensure a continued strong compliance culture at Champlain.

Work Environment & Benefits

• Role requires prolonged periods of working on a computer.
• Champlain has an in-person culture but allows flexibility as necessary to accommodate specific needs.
• Comprehensive benefits package including health, dental, vision, 401(k), paid time off, and continuing education support.

About the Successful Candidate

Education & Experience

• Bachelor’s degree required; advanced degree such as a J.D. or M.B.A. preferred.
• 3+ years of experience in compliance, legal, and/or regulatory affairs, or a similar field; other experience in the asset management industry, including in trading, investment operations, data management, and/or client service is a plus.
• Relevant certifications (e.g., IACCP, CFA, or FINRA licenses) or experience with compliance systems (e.g., MyComplianceOffice, Smarsh, etc.) are a plus.

Skills & Qualifications

• High level of integrity, sound judgment, and attention to detail.
• Strong analytical and research skills.
• Excellent organizational and communication skills.
• Proficient in Microsoft Office (Excel, Word, PowerPoint).
• Knowledge of regulations applicable to U.S. asset managers, including the Investment Advisers Act of 1940, SEC rules, and FINRA guidelines, is a plus.