Compliance Associate
Position Summary
The compliance associate will work closely with the CCO on a variety of regulatory and compliance matters, with an emphasis on the below:
Responsibilities
- Administer the Code of Ethics compliance program, using Schwab CT (e.g., personal trading, gifts and business entertainment, political contributions).
- Prepare and submit various SEC, CFTC and foreign regulatory filings.
- Assist in the development of internal compliance projects, such as creating periodic metrics and on-going tasks.
- Review and analyze reports generated by the firm’s surveillance systems.
- Assist with compliance training programs.
- Assist in the completion, review, and maintenance of promotional marketing materials, including but not limited to DDQs, pitch books, fact sheet, etc.
- Enhance internal compliance reports by identifying/closing any potential gaps, automating workflows/processes.
- Take lead on the completion and maintenance KYC and new account broker documentation.
Requirements
- 3-5 years of asset management experience, preferably with Advisers Act experience.
- Prior compliance or paralegal experience a plus.
- High level of proficiency in MS Office.
- Excellent written and verbal communication and analytical skills.
- Reliable, results-oriented and highly motivated. Comfortable in fast-paced environment.
- Efficient and resourceful, able to work independently, handle multiple and changing priorities, and meet deadlines.
- Strong organizational skills.
About Wolverine
Wolverine Asset Management, LLC (“WAM”) is a registered investment advisor managing private investment funds exclusively for qualified investors. WAM was established in 2002 and currently has over $2 billion in assets under management. WAM has offices in Chicago and New York and is part of the Wolverine family of entities.
Wolverine, founded in 1994, is a diversified financial institution specializing in proprietary trading, order execution services, and technology solutions. Wolverine is recognized as a market leader in derivatives valuation, trading, and value-added order execution across global equity, options, and futures markets. With a focus on innovation, achievement, and integrity, Wolverine takes pride in serving the interests of both its clients and colleagues. Wolverine is headquartered in Chicago with offices in New York and San Francisco and a proprietary trading affiliate office located in London.
Sponsorship is not available for this position.