Functional Title: Compliance Associate & Associate Corporate Secretary

Corporate Title: Associate

Department: Corporate Operations

Reports To: Senior Compliance Officer

Overtime Eligible (Y/N): N (Exempt)

Position Summary: Collaborate with the Senior Compliance Officer in implementing and managing the organizations compliance program and coordination of legal matters. Instill a culture of compliance in accordance with legal, regulatory and IT guidelines.

Essential Duties/Function:

Collaborate with the Senior Compliance Officer in the following:

o Develop regulatory and compliance policies, procedures, and processes in accordance with applicable laws and regulations; ensure policy alignment with the regulatory and compliance monitoring function. o Perform Regulatory and compliance oversight and testing to ensure the adequacy of the compliance programs as they relate to insider trading and other securities-related matters, including e-mail monitoring policies and procedures.

o Implement procedures to address new regulatory rules and requirements; prepare and maintain various regulatory filings.

o Coordinate and prepare responses to Regulatory and/or compliance examinations conducted by internal or external parties.

o Prepare and conduct ongoing Regulatory and compliance training for employees.

o Review and draft various documents and provide general commentary.

o Liaise with relevant external counsel and/or senior management to assess potential risks and plan actions to control or mitigate them.

o Conduct internal audits and surveillance of departmental adherence to corporate rules and regulations. Collaborate with the Corporate Secretary in scheduling and preparation for Board,Compliance Committee and Best Execution meetings (the Meeting), preparing the Meeting materials, agendas, and minutes, maintaining corporate governance documents including by-laws and charters, prepare state filings.

Miscellaneous duties as assigned.

Experience/Qualifications:

Bachelor's degree in Business Administration, Communications, Political Science, Economics or equivalent work experience.

1-3 years of corporate work experience preferably in corporate planning or governance, operations, auditing, compliance or related regulatory role; exposure to compliance processes helpful.

Effectively and concisely identify issues and communicate findings to others.

Outstanding interpersonal, presentation, and organizational skills, including prioritizing, multi-tasking, and proactively following up to meet defined deadlines.

Proficient in logical thinking and document analysis, with the ability to extract key insights from complex documents.

Fluency in English required.

A flexible team player able to adapt to change.

Disclaimer:

The above statements are intended to describe the general nature and level of work being performed by people assigned to this position. This document is not designed to cover or contain a comprehensive listing of activities, duties, or responsibilities required by the incumbents. Job responsibilities are subject to change, with or without notice. All employees may be required to perform duties outside of their normal responsibilities at any time at the Companys sole discretion. This document does not constitute a contract of employment with you of any kind, express or implied for any duration, or concerning any of its stated or omitted terms. As described in the Companys employee handbook, the Company reserves the right to terminate your employment with or without cause, notice, or reason at any time at its sole discretion.

The expected annual base salary for this position ranges from $80,000.00-$100,000.00. It is not typical for offers to be made at or near the top of the range. Salary offers are based on a wide range of factors including relevant skills, training, experience, education, and, where applicable, certifications obtained. Market and organizational factors are also considered. In addition to salary and a generous employee benefits package, successful candidates are eligible to receive a discretionary bonus based on qualitative and/or quantitative performance factors.