Supporting the operations of the material non-public information program by responding timely to requests regarding the establishment of fund and personal trade restrictions as well as reviewing exception alerts and responding/resolving as needed
Compiling information/data for internal reporting and regulatory responses
Responding to internal client inquiries regarding routine basic matters and escalate as appropriate
Active monitoring in support of compliance with information barriers
Supporting the eCommunications program regarding policy reviews and escalated items
Providing AMC management with information on current trends and issues recognized during assignments and recommend plans for improvement.

Bachelor's degree with 1-2 years’ experience in a financial services environment preferred
A teammate with good interpersonal skills and the ability to work collaboratively across departments
Strong organizational skills with a proven track record to multi-task with an attention to detail
Sound decision-making ability and risk management skills
Strong problem solving and analytical skills and the ability to be flexible in a fast-paced, changing environment
Skills to communicate effectively, influence and solve problems with a variety of business partners
Able to identify key opportunities for improvements in process through technology solutions.

Associate, Asset Management Compliance

Key skills