Chenery Compliance Group

Location: Wayne, PA or Remote

Overview

Chenery Compliance Group (CCG) is seeking a Compliance Associate to join a growing team of client-focused, technically versatile, and collaborative compliance professionals. 

CCG is an independent institutional quality boutique that provides SEC Chief Compliance Officer outsource solutions and regulatory risk protection for SEC ERAs, Registered Investment Advisers and Registered Investment Companies (including: institutional, wealth, alternative and private fund investment advisers, registered funds and series trusts).

Chenery Compliance was founded with the sole purpose to help protect our clients from regulatory risk, enabling them to focus on investing and business building.

Responsibilities:

• Support client engagement leaders (Chief Compliance Officer or Compliance Officer) across multiple clients;
• Participate in the implementation of all components of the Investment Advisers Act of 1940 or Investment Company Act of 1940 for each engagement;
• Assist with periodic updates to policies and procedures in the compliance manual;
• Assist in all aspects of the Annual 206(4)-7 Review, including information requests, document preparation, testing and protocol development;
• Prepare regulatory documents such as Form ADV, Form PF, Form 13 filings, policies and procedures, risk assessments, and compliance checklists;
• May participate in marketing material review and approval, depending on experience;
• Interact with clients on periodic calls and provide support on various regulatory compliance needs;
• Interface with Shared Service team to support drafting, approval, distribution, and monitoring of Code of Ethics certifications and pre-approvals;
• Maintain and track the compliance calendar, project workflows, and various other processes;
• Continuously enhance internal processes, project workflows, and other procedures;
• Serve as a key resource in onboarding clients;
• Other duties as assigned.

Required Skills & Experience

The ideal candidate will possess the following experiences and attributes:

• +1-3 years of related experience in working with SEC investment adviser regulated entities; 
• Experience in the investment management industry and familiarity with the Investment Advisers Act of 1940 and/or the Investment Company Act of 1940, required;
• Prior experience using Code of Ethics software solutions (MyComplianceOffice) preferred;
• Ability to work independently across multiple clients and tasks simultaneously;
• Ability to promptly escalate breaches in policies/compliance to superiors and/or clients;
• Excellent time management and organization;
• Ability to work well in a fast-paced, small-team environment;
• Ability to work independently, multi-task and prioritize effectively;
• Strong oral and written communication skills;
• Highly motivated and goal oriented, volunteers for and shows initiative on tasks and projects;
• Bachelor’s degree, required.

To apply: Please send your resume to jshimer@chenerycompliance.com