Compliance Assistant

Berkeley, CAFull-TimeJuniorOther

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Responsible for the day-to-day administration of the firm's Code of Ethics software system for employee compliance, which includes personal trading by employees and other access persons, various periodic certifications by employees and other documentation, etc.
Contacts new employees regarding compliance obligations including code of ethics and other matters
Assists with set up of broker feeds.
Continuous maintenance of firm's Code of Ethics software system and brokerage firm contacts for feeds
Responsible for compliance manual certifications and tracking of all employee obligations
Schedule compliance training sessions, track attendance and certifications.
Keep records of various supervisory committees.
Work on projects to maintain the firm’s high standards of compliance with new and existing regulations
Collaborate with Legal and Compliance staff to support the firm’s employees

2-4 years of demonstrated talent in professional endeavors, particularly in operations or administrative fields
Displays strong customer service aptitude and excellent interpersonal skills
Authorization to work in the United States