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The Compliance Associate will support the Chief Compliance Officer (CCO) in managing the firm's compliance program(s), to ensure the firm adheres to regulatory standards set by the Securities and Exchange Commission (SEC) and other applicable authorities. This includes monitoring and reporting on the Code of Ethics, testing compliance related policies and procedures, and working with the CCO, employees, outside counsel, and compliance consultants to ensure effective compliance program oversight.   MAJOR JOB ACCOUNTABILITIES:   - Required Filings: Assist in the preparation, maintenance, and filing of regulatory documents such as Form ADV, Form U-4/U-5, and other filings as needed.   - Audits: - Assist in performing annual compliance program reviews; support periodic mock regulatory exams; aid in responding to regulatory inquiries and examinations from the SEC and other regulatory bodies.   - Work with internal and external auditors throughout the year by...