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Bartlett Wealth Management

Compliance Associate

location icon Cincinnati, Ohio, United States


Under the CCO's supervision, this person will manage day to day compliance functions for the firm and assist in administrative and clerical support to the Chief Compliance Officer.

Compliance functions:

  • Assist the CCO in revising the Code of Ethics, Policy & Procedures Manual, and Form ADV on an annual and ongoing basis.
  • Assist the CCO in revisions of the firm's compliance program and risk matrix on an annual and ongoing basis.
  • Maintain and enhance certain Sarbanes Oxley (SOX) controls and documentation so they reflect the current environment, complying with SOX compliance and identify opportunities for deficiency resolution.
  • Assist in leading and preparing for semi-annual compliance training for all employees.
  • Preparing all Anti-Money Laundering training for the firm's employees
  • Maintain and perform daily duties in MyComplianceOffice Technologies system, including monitoring daily personal trading, creating, and maintaining quarterly, semi-annual, and annual acknowledgements in the system, maintaining employee brokerage accounts including receipt of monthly statements.
  • Maintain internal forms (change form, new account form, termination form, etc.) in the MyComplianceOffice Technologies system.
  • Assist on the annual surprise custody audit and the annual risk assessment.
  • Assist in communications with the firm's outside compliance counsel.
  • Conduct quarterly risk analysis by analyzing the portfolio risk ascertained by running the variance analysis reports.
  • Maintenance of Compliance files (Internal and External Audits, Advertisements, Media, and Newsletters).
  • Distribute all internal compliance acknowledgements and certifications.
  • Distribute annual mailings to clients (Privacy policy, proxy policy, and brochure updates)
  • Assist with preparation for SEC audit.
  • Maintain proxy voting system.
  • Review new IA paperwork packets for necessary documentation.
  • Attend at least one industry compliance conference annually.
  • Assist with the annual Mutual Fund Share Class review.
  • Coordinate and prepare for quarterly Investment Oversight Committee meetings.

Additional Responsibilities:

  • Assist with special projects as assigned.

The above statements are intended to describe the general nature and level of work being performed by persons assigned to this job. These statements are not intended to be an exhaustive list of all responsibilities, duties and skills required of personnel in this position.

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Publication date: 2023-11-22
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