JOB DETAILS

Compliance Associate

Chandler Asset Management • San Diego, CA, US • $60k - $75k / year • 1w ago

Description

Who are we?

We’re Chandler Asset Management, an employee-owned and independent financial services company; our concentration centers on managing taxable fixed income portfolios that are aligned with our institutional clients’ needs. We manage over $35 billion in assets and believe in the philosophy of creating value and managing risk with active management, using robust quantitative analysis and qualitative insights.

What do we value?

Great People with Great Values. Integrity, service, excellence, education and teamwork are the values that define the culture at Chandler Asset Management.

In addition to our core values, our culture is defined by 27 fundamental behaviors that describe our culture, set us apart and drive our success. From the beginning, we’ve always wanted to deliver total piece of mind through extraordinary performance. We believe our extraordinary performance and culture are driven by our dedicated and committed people.

What’s the job all about?

The Compliance Associate plays a role in maintaining and enhancing the integrity of our compliance framework. This foundational position involves diligent monitoring of compliance measures, reviewing investment policies, coding investment restrictions, and bolstering the compliance team's efforts. The role is integral to the operational effectiveness of the compliance department, requiring a detail-oriented and proactive approach to ensure adherence to regulatory standards and internal guidelines. This position is a hybrid role based out of our San Diego, CA office.

The essential functions include, but are not limited to the following:

Assist senior team members with compliance monitoring using Bloomberg AIM and identify and report basic compliance gaps.
Support the review process of investment policies and report any inconsistencies.
Aid in coding investment restrictions and report coding anomalies.
Participate in both periodic and regular compliance reviews and prepare basic documentation.
Support compliance reviews of client statements; internal and external follow-up on deficiencies.
Support senior staff in risk assessment processes and document findings.
Assist in drafting new policies, solicit feedback, and make necessary revisions.
Help with regulatory filings and reporting, and document all regulatory activities.
Assist in record retention oversight and familiarize with company record retention guidelines.
Willingness to get FINRA Series 7 registrations within 12 months.

Requirements

This Team Member will have:

Education: A Bachelor’s degree in a relevant field is required.
Industry Experience: 1-3 years of experience in a related field is necessary.
Technical Proficiency: Expertise in Microsoft Office Suite and CRM applications required. Familiarity with Bloomberg AIM and SQL is preferred.
Communication Skills: Exceptional written and verbal communication skills are essential.
Research & Update: Must stay regularly updated on industry norms and practices.

What we can offer you!

Medical, Dental, Vision, HSA & FSA

Life & AD&D

Short-Term & Long-Term Disability

Accident & Critical Illness

Employee Assistance Program

Employee 401(k) Plan

ESOP

Employee Discounts

Paid Time Off

Paid Holidays

Fun Company Events

Ready to join our team?!

Please note before submitting an application: as a company, we take hiring very seriously. Although we are unable to follow-up with each and every applicant, we do our best to run a thorough process for candidates with whom we identify a potential fit. Chandler Asset Management provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, religion, color, sex, gender, sexual orientation, pregnancy, age, national origin, ancestry, physical/mental disability, medical condition, military/veteran status, genetic information, marital status, ethnicity, alienage or any other protected classification, in accordance with applicable federal, state, and local laws. Those applicants requiring accommodation to complete the application and/or interview process should contact a management representative.

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