2024 The Riverside Company- Associate, Compliance

A Compliance Associate at The Riverside Company plays a vital role in enhancing the firm's compliance programs. This includes monitoring compliance policies, conducting reviews and testing, preparing regulatory filings, and providing training. The position is integral to ensuring we adhere to all regulatory requirements and maintain high standards of compliance across all our operations.

To qualify for the Compliance Associate role at The Riverside Company, candidates should have a Bachelor’s degree and 2-4 years of related experience in compliance or investment management. Proficiency in Excel and other Microsoft Office tools is necessary, and strong communication skills are essential as you will be liaising with various internal and external stakeholders.

The work environment for a Compliance Associate at The Riverside Company is fast-paced and collaborative. You will be working alongside talented colleagues in either our New York or Cleveland office, contributing to a culture of teamwork and mutual support. The role is dynamic, offering the opportunity to engage with various departments to address compliance needs.

As a Compliance Associate at The Riverside Company, you'll have ample opportunities for professional growth. The role is designed to evolve with your experience, providing a path to take on more significant responsibilities, engage in compliance strategy development, and potentially progress into leadership positions within the compliance department.

The Riverside Company is committed to diversity and inclusion, believing it drives innovation and growth. We encourage all qualified applicants from varied backgrounds to apply, and we have programs in place to nurture and support a diverse workplace that fosters a culture of respect and equal opportunity.

The salary range for a Compliance Associate at The Riverside Company is competitive, typically between $100,000 and $110,000 annually, accompanied by annual bonuses and a robust benefits package. This reflects our commitment to attracting and retaining top talent in a vital compliance role.

A new Compliance Associate at The Riverside Company can expect comprehensive training that covers compliance policies, regulatory requirements, and internal practices. You will receive support to ensure a smooth onboarding process and ongoing professional development opportunities to advance your skills and knowledge in compliance.

Be prepared to highlight specific experiences and projects where you played a role in compliance at a previous job. Discuss how your actions contributed to maintaining regulatory standards and what you learned from those experiences.

Demonstrate your commitment to ongoing education by discussing various resources you utilize, such as regulatory updates, professional organizations, webinars, or continuing education courses, to stay informed about compliance changes.

Discuss the significance of the Act in regulating the conduct of investment advisors, focusing on how it protects clients and ensures transparency. Highlight your familiarity with the Act and any relevant experience you've had related to it.

Share a specific instance where you identified a compliance issue, explaining how you approached the problem, the steps you took to resolve it, and the outcome. This will showcase your problem-solving skills and attention to detail.

Explain your approach to prioritization, whether through to-do lists, deadlines, or project management software. Give an example of a time when you managed competing priorities effectively.

Talk about your approach to developing training materials, engaging employees through interactive sessions, and evaluating training effectiveness through feedback or assessments, highlighting any previous training experiences.

Outline your strategy for implementing new policies, including stakeholder engagement, drafting and communicating the policy, providing necessary training, and monitoring compliance. Give an example if possible.

Discuss your experience with compliance monitoring tools, how you assess their effectiveness, and ways you integrate technology into compliance processes to increase efficiency and accuracy.

Emphasize your understanding of the importance of confidentiality, your adherence to policies for protecting sensitive data, and techniques you use to manage such information securely.

Share your enthusiasm for The Riverside Company as a well-respected investment firm, your alignment with their values, and how the Compliance Associate role represents a unique opportunity for you to contribute to their mission and grow professionally within their team.