Purpose of the position:
We are seeking a Risk and Compliance professional responsible for assisting broader team in distribution-compliance related matters, with a focus and background in marketing material review, broker-dealer regulatory compliance, cross border distribution compliance, and anti-money laundering (“AML”). The role will have the opportunity along with internal candidates to grow into a senior Compliance Officer role within the Distribution Compliance team.
Job duties:
- Perform review of marketing materials in line with abrdn policies and regulatory framework (SEC, FINRA and other applicable regulations and standards)
- Perform email review for employees of the investment adviser and broker-dealer
- Assist in the coordination of broker-dealer and registered representative regulatory and compliance framework
- Assist in cross-border distribution oversight, including coordination with colleagues in APAC and UK/EMEA
- Contribute to AFD’s regulatory responsibilities and obligations, including performing analysis of applicable existing, proposed and new regulations and testing efficacy of the broker-dealer compliance program
- Assist in ensuring local and Group AML compliance with regulatory and firm policies, including customer due diligence and know-your customer requirements with particular attention on US and Cayman Island regulations, requirements and standards
- Ad hoc projects as they may arise within Risk & Compliance-Americas
Qualifications, experience and conditions of work:
- Bachelor’s Degree required
- 3-5 years’ experience working in the investment management industry
- SIE and Series 7 required with an expectation of obtaining the Series 24 within 90 days of start date
- Proficient with Microsoft Excel, Word and Power point; knowledge of Adobe Pro is a plus
- Ability to prioritize, plan, and take initiative
- Analytical skills and ability to respectfully challenge when necessary
- Strong written and oral communications skills
Occasional travel and overnight stays may be required. 3 days per week in the office is expected.
We are an affirmative action - equal opportunity employer. We’re committed to providing an inclusive workplace where all forms of difference are valued and which is free from any form of unfair or unlawful treatment. We define diversity in its broadest sense – this includes but is not limited to our diversity of educational and professional backgrounds, experience, cognitive and neurodiversity, age, gender, gender identity, sexual orientation, disability, religion or belief and ethnicity and geographical provenance. We support a culture that values meritocracy, fairness and transparency and welcomes enquiries from everyone.
If you need assistance or an adjustment due to a disability please let us know as part of your application and we will assist.