Based in our Chicago headquarters or one of our branch locations (Southfield, MI; Northbrook, IL; Greenwich, CT; Scottsdale, AZ; Denver, CO; Orange County, CA), the Compliance Associate will partner with the Chief Compliance Officer in meeting the regulatory requirements required by the Firm. This will include working on projects and tasks individually, with the CCO and with other Kovitz departments or external partners.
This role is an excellent opportunity for a junior individual seeking to learn and grow in a compliance role with Kovitz.
Successful characteristics include superior communication skills, collaboration, and an elevated level of professionalism.
PRIMARY RESPONSIBILITIES
The individual will be involved in various compliance tasks, including but not limited to:
Assist in maintaining the firm's compliance program by executing various tasks on a daily, monthly, quarterly and annual basis
Point of contact for internal and external individuals on compliance questions and requests
Assist with annual compliance review and other periodic compliance reviews
Assist with tasks related to compliance for onboarding and offboarding employees
Oversight and main administrator of our Code of Ethics Compliance system
Coordinating and preparing responses and filings related to our registered investment companies and private funds
Oversight of our Anti-Money Laundering program
Oversight of Vendor Management Program
Regulatory filings - IARD, Form PF, 13F, etc.
Monitoring of Gifts and Entertainment
Assist with Risk Management Program
PREFERRED SKILLS & EXPERIENCE
Bachelor's degree
2+ years of compliance experience for a financial services company (registered investment adviser, broker-dealer, etc.)
Basic understanding of requirements of the Securities and Exchange Commission and applicable rules that apply to Kovitz (Investment Advisers Act of 1940, Securities Exchange Act of 1934 and/or Securities Act of 1933)
Detail oriented and organized with strong analytical and problem-solving skills
Ability to interchangeably collaborate and work independently
Impeccable attention to detail
Positive attitude and teamwork oriented
Self-motivated, proactive and able to manage multiple priorities