Regulatory Administrator

Chenery Compliance Group (CCG) is seeking a Regulatory Administrator to join a growing team of client-focused, driven, highly motivated compliance professionals. CCG is an independent institutional-quality boutique that provides regulatory compliance outsource solutions and Chief Compliance Officer services for institutional and wealth investment managers, private fund managers, and registered funds.

Areas of Responsibility

• As a member of the Shared Services Team, this role is responsible for the administration of the Code of Ethics program for registered investment advisers via MyComplianceOffice (MCO).
• Establish and monitor electronic brokerage feeds into MCO by coordinating with brokerages, client employees, and the engagement team.
• Monitor personal trading activity for trading violations pursuant to the Code of Ethics for each client.
• Escalate any possible breaches of compliance within client policies to the engagement team.
• Diagnose and resolve any issues other team members and/or clients have related to the capture of personal trading activity.
• Distribute and monitor annual and quarterly questionnaires, and pre-clearance forms such as outside business activities, gifts & entertainment, and political contributions.
• Serve as a key resource in onboarding clients and the management of the MCO system.
• As a quickly growing firm, your opportunities for advancement and growth will be frequent.

Required Skills & Experience

The ideal candidate will possess the following experiences and attributes:

• 0–3 years of related experience in financial compliance or other regulatory services, preferred.
• Ability to work independently across multiple clients and tasks simultaneously.
• Prior experience using Code of Ethics software solutions (Orion-BasisCode and/or MyComplianceOffice, etc.) preferred.
• Ability to promptly escalate breaches in policies/compliance to superiors.
• Prior experience or strong knowledge in brokerage account statements and transactions review.
• 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.
• Familiarity with the investment management industry and the Investment Advisers Act of 1940, preferred.
• Bachelor’s degree required.