Senior Associate, Compliance

Company Description: Pathstone is a dynamic, rapidly growing, partner-owned wealth management firm that serves ultra-high net worth families, single family offices, and foundations and endowments. Our comprehensive range of services and deep expertise goes far beyond investment advice. We provide tax planning and compliance, insurance and risk management, lifestyle management, wealth and estate planning, trust services, and philanthropy services. We have 20+ office locations and more than $100 Billion in Assets Under Advisement and Administration. The number of Pathstone team members has more than doubled in the past five years.

As a Certified B Corporation, Pathstone seeks to make a difference in the lives of our clients and their families as well as to offer a positive and supportive work environment for our employees. Our team members are encouraged to pursue their passions by serving on committees and initiatives addressing topics of importance to our business. Our talented people are our greatest asset and therefore we offer a competitive, comprehensive, and flexible benefits program that helps meet the needs of our team members and their families. Pathstone's generous benefits include comprehensive medical, vision, and dental coverage, flexible spending, flexible PTO, life insurance, education support, 401k plan, parental leave, and more.

This role supports the firm's Compliance Department.

Principle Purpose of Job: To ensure the firm adheres to regulations, mitigates risks, and maintains a strong compliance culture. Involves monitoring, reporting, and providing guidance on regulatory changes, in addition to light administrative work.

Essential Job Responsibilities:

• Monitor regulatory changes affecting investment advisers, assess their impact on firm operations, and help implement required changes.
• Ensure the firm's policies and procedures comply with current regulatory requirements and are effectively implemented.
• Promote a strong compliance culture within the organization.
• Prepare for and support regulatory examinations and audits.
• Support the Compliance team with administrative activities and tasks.
• Assist with team onsite meeting agendas, scheduling of sessions, and team events, etc.
• Provide additional support on special projects as needed.
• Check and respond to email as necessary.
• Co-author, edit, and proofread written communication.
• Schedule Compliance Team meetings (trainings, onsite visits, project meetings, reviews).
• Maintain organized electronic files for Pathstone's documents.
• Assist with both internal (employee) and external (auditors, vendors, consultants) inquiries and requests.
• Help with surveillance, monitoring, and testing as part of the firm's holistic compliance program.
• Manage the review process of marketing materials for compliance with the SEC's Marketing Rule - provide direct feedback, check to be sure feedback from others has been incorporated, and manage the approval workflow.
• Additional responsibilities as directed.

Requirements:

• Required Knowledge Of: Microsoft Office Suite, Teams, a CRM such as Salesforce would be desirable. Experience with Compliance Management Software and/or custodial platforms is beneficial.
• Required Skills and Abilities: Proficient typer, strong communicator, organized, detail-oriented, analytical thinker, flexible, the ability to work collaboratively, a problem solver, and curious - someone who seeks ways to improve processes. Candidates should have the ability to work both independently and within a team setting, remain composed and communicate effectively in high-pressure situations, prioritize tasks amid competing demands, exercise good judgement when handling sensitive information and situations, maintain confidentiality and professionalism in all interactions, and demonstrate an upbeat demeanor. Candidates should also demonstrate attentive listening skills, customer service principles, and the ability to develop practical solutions to complex challenges.

Minimum Qualifications:

• Education: Bachelor's degree required.
• Work Experience: 3 years' administrative and clerical experience in a professional office setting. Investment industry experience is a plus. Registered investment advisor compliance experience or knowledge is a plus.

Pathstone is committed to creating a diverse environment and is proud to be an equal opportunity employer.