Compliance Analyst - Investment Management

1-3 yrs required

Full-time

No

The Compliance Associate will join the Legal and Compliance team and will work on a wide variety of compliance matters for an SEC registered advisor.

Perform and document reviews to assess the effectiveness of controls and ensure adherence to laws, regulations and firm policies
Prepare required documentation evidencing compliance with policies and procedures 
Assist with regulatory filings.
Assist in organization and maintenance of all required books and records, including maintain various logs and spreadsheets and other tools as part of our compliance program
Assist in the administration of all aspects of the Firm’s Code of Ethics
Assist with the review of marketing materials
Conduct due diligence of and monitor vendors, research and data providers and other third parties for compliance purposes
Additional ongoing internal and external training will be provided

Additional Information

For additional information on RockCreek, please
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RockCreek is an Equal Opportunity Employer and does not discriminate against any employee or job applicant because of race, color, religion, national origin, sex, gender, gender identity, physical or mental disability, or age.

Benefits

Consistent with our belief that team members are our most valuable asset, RockCreek offers a competitive benefits package.

Ability to work remotely with support technology
Medical, dental, and vision insurance; dependents eligible
401(k) retirement plan with company match
Paid time off, sick leave, and company holidays
Wellness programs including meditation and fitness classes
Onsite gym

Qualification and Experience Qualifications The ideal candidate will have the following skills and experience: Bachelor’s degree with strong academic performance; JD is a plus (though not required) 1-3 years of compliance experience, preferably at an asset manager, or law or compliance firm  Knowledge of Investment Advisers Act of 1940 a plus Best in class organizational skills Strong Excel and SharePoint skills; ability to use technology; able to produce reports and track compliance data Ability to work independently and handle multiple tasks simultaneously while being a proactive team member Carry out multiple assignments in a fast paced environment and meet deadlines Ethical high standards and integrity

Legal