Now Hiring – Compliance Associate

We are actively hiring for the role of Compliance Associate. Given the nature of the role and the expected workload, we anticipate that this role will be part-time and remote in nature.

If you are interested in joining our team, please email Michael Paley, Chief Operating Officer: mpaley@klingmanria.com.

Mission:

The Compliance Associate is responsible for managing much of the company’s compliance policies and procedures, including the ongoing testing of these procedures.

Outcomes Expected of Compliance Associate:

• Manage various elements of the firm’s compliance review program including email review, ad review, employee reporting, and overall compliance testing calendar.
• Update and maintain company and team’s required registration and regulatory filings including its Form ADV and Form CRS.
• Supervise and manage the annual surprise custody exam and interim testing procedures.
• Consistently identify opportunities for the company to improve its compliance policies and procedures as the company and the regulatory environment evolve.

Role-Related Competencies:

• In depth knowledge of the regulatory requirements of SEC registered investment advisers
• Experience managing the ongoing testing and review of a firm’s compliance policies and procedures
• Ability to multi-task in a remote work environment
• Attention to detail and follow through
• Excellent verbal and written communication

Klingman & Associates-Related Competencies:

• Steadfast commitment to serving clients’ needs
• Acts with unwavering integrity
• Team oriented
• Accountability
• Comfortable working in entrepreneurial environment
• Proactively work to improve the business