Junior Compliance Associate

Position: Junior Compliance Associate – Full Time (On Site)

Location: Stamford, CT

Role: ARGA’s compliance department prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. The department assesses the firm’s compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; and conducts independent testing; investigates, surveils and monitors for compliance risks and breaches. We seek a compliance associate to join the compliance department. You would report directly to ARGA’s Chief Compliance Officer. You will interact with different business lines and control functions, including client service, marketing, operations and finance. We expect you to have a strong interest in understanding ARGA’s business model and operational processes.

Responsibilities

  • Provide compliance oversight and support
  • Assist with developing, drafting and maintaining compliance policies and procedures outlining firm requirements, regulations and best practices
  • Perform reviews and testing to assess compliance risks and identify potential breaches
  • Maintain the compliance calendar
  • Assist with regulatory examinations, filings, audits and inquiries
  • Analyze new or amended rules and regulations in order to formulate practical solutions for implementation
  • Coordinate with internal stakeholders to assist with new business initiatives and regulatory requirements
  • Ad hoc projects as requested by the Chief Compliance Officer

Qualifications

  • 1-2 years of financial services compliance and/or fund operations experience
  • Excellent communication (oral and written), judgment and organizational skills
  • Ability to handle multiple tasks simultaneously and work in a fast-paced environment

Send your resume and cover letter to info@argainvest.com

ARGA is an equal opportunity employer. ARGA recruits, employs, trains, compensates and promotes regardless of race, religion, color, national origin, sex, disability, age, veteran status, and other protected status as required by applicable law.

We are focused on equality and believe our deep commitment to diversity enhances our uniqueness.