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Compliance Associate
Position Overview: The Compliance Associate will support the firm’s compliance function, working closely with the General Counsel/CCO and Compliance Officer, as well as the firm’s Legal department. Responsibilities include, but are not limited to: Charles River Review compliance end-of-day alerts utilizing concentration reports and internal reporting systems to research and resolve issues Review month-end portfolio holdings through Charles River for guideline compliance across all accounts Maintain rule library and manage client restricted lists Review new securities and Rule 144A transactions for account eligibility Account Setup and Maintenance Maintain
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