POSITION OVERVIEW
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
- Oversight of our 3rd party compliance consultant
- Investment Advisory Agreement review and signoff – Electronic consent CRM updates
- 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
