Jan 05, 2023

Compliance Senior Associate-Gresham

  • TIAA
  • Hybrid (New York, NY, USA)
Full time Investment

Job Description

Compliance Sr Associate

The Compliance Senior Associate - Gresham will be responsible for supporting day-to-day aspects of Gresham’s Compliance Program.  This position reports to the Chief Compliance Officer and will involve assisting with a wide variety of compliance‐related activities involving Gresham’s private funds business and SMA clients. 


Key Responsibilities and Duties

  • Review and execute day‐to‐day compliance program activities (e.g., investor due diligence questionnaires, certifications and other similar types of requests, regulatory filings and disclosures, monitoring, training, registrations, third‐party service provider due diligence reviews, among other core compliance program activities), as applicable.
  • Prepare and Partner with internal departments to prepare and submit Gresham’s regulatory filings and disclosures (i.e., Form ADV, Form PF, Form Ds, Blue Sky filings, NFA Bylaw 1101 etc.), as appropriate.
  • Report and maintain ongoing Compliance metrics related to portfolio management and trading.
  • Develop, regularly review, and maintain Gresham Compliance policies and procedures.
  • Assist with regulatory inquiries, examinations and internal and external audits and ensure the timely resolution of applicable required matters, as necessary.
  • Provide strong hands‐on support and execution with respect to ad‐hoc Compliance projects and ongoing regulatory changes or developments, as needed.
  • Stay abreast of ongoing regulatory developments and/or material regulatory changes in applicable law and regulations, as appropriate.

Educational Requirements

  • University (Degree) Preferred

Work Experience

  • 3+ Years Required; 5+ Years Preferred

Physical Requirements

  • Physical Requirements: Sedentary Work


Career Level
7IC

Qualifications:

Required:

  • 3+ years of Compliance experience in a hedge fund environment or asset management (prior regulatory advisory consulting experience would be a plus) with strong knowledge of the Investment Adviser’s Act of 1940 (SEC regulations would also be desirable).

Preferred:

  • Bachelor’s degree or higher in a related field.
  • 5+ years of Compliance experience in a hedge fund environment or asset management (prior regulatory advisory consulting experience would be a plus) with strong knowledge of the Investment Adviser’s Act of 1940 (SEC regulations would also be desirable).
  • Strong ownership mentality (“can do attitude”) with exceptional resourcefulness and drive for results.
  • Must be extremely organized, detail‐oriented and have an analytical mindset with the ability to deliver key insights on complex compliance and business matters.
  • Excellent written and verbal communication skills.
  • Ability to identify issues and exercise sound judgement in a fast‐paced environment.
  • Ability to effectively prioritize work, engage and work effectively with business management, and parent companies’ teams and to manage multiple projects simultaneously.
  • Strong ownership mentality with exceptional resourcefulness and drive for results.
  • High level of emotional intelligence and nimbleness; ability to adapt quickly to changing business priorities.
  • Extremely strong work ethic, time management skills and the ability to work independently to produce deliverables to tight deadlines.

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