Compliance Associate in Newport Beach, California at remotelyhr

Compliance Associate-

RemotelyHR is hiring on behalf of Canterbury Consulting

*Note that this position is located at our Newport Beach, California office. We have a hybrid

schedule where all staff are expected to be in the office on Tuesdays, Wednesdays, and

Thursdays, with the option work from home on Monday and Friday.*

About Canterbury Consulting

Canterbury Consulting, Inc. ("Canterbury") is a 65+ person registered investment advisor (RIA) that provides investment advice to a broad set of clients with net assets ranging from $10M to

$2B.

Canterbury services clients in US and Canada. Clients include both tax-exempt - public

and private foundations, endowments and pension plans - and taxable - corporate plans and high

net worth and ultra-high net worth individuals and families - and invest in both traditional assets

such as public equities and bonds and alternative assets such as private capital, hedge funds and

real assets (commodities, real estate, etc.).

Canterbury customizes each client's portfolio, based

on their needs, wants, risk preferences and liquidity requirements. Canterbury also manages a

series of private commingled funds in the following categories: Private Equity, Private credit, co-

investments and direct investments.

Canterbury Consulting was named one of the Best Places to Work by the Orange County

Business Journal in 2021, 2022, 2023 and 2024, and Best Places to Work in Money Management

by Pensions & Investments for the last three years.

Position Overview

Canterbury is seeking candidates with excellent quantitative, qualitative, and interpersonal skills

for an Associate position on Canterbury’s Team. The position’s primary role will be to engage

broadly in various areas of compliance and regulations.

The primary responsibilities of a Compliance Associate are:

• Manage and perform ongoing review and testing of firm’s written communications and elements of code of ethics as followed by each of the firm’s employees.

• Complete firm’s regulatory filings in the US and Canada where firm is registered as

  portfolio manager and exempt market dealer. Firm’s filing obligations include those of an

  RIA as well as a private fund manager.

• Support the ongoing development of the investment adviser compliance program, working

  closely with the Chief Compliance Officer to drive enhancement and ensure consistency

  globally across disclosure documents (ADV and other filings), compliance manuals, and

  other regulatory documents.

• Manage custody audit, GIPS verification, and various other compliance audits. Assist

  CCO in quarterly audit activity with Department Heads.

  
  
  

• Assist with review of marketing and client reporting material, and maintain related records.

• Perform ongoing review and testing of firm’s compliance policies and procedures.

• Assist CCO in conducting compliance training activity at firm. Help develop policies and

  procedures for new and growing areas of firm’s business.

• Perform review of internal and external communications, in accordance with the firm’s

  compliance policies and procedures.

• Assist in independent second line risk-based testing, themed reviews, and ad-hoc reviews

  of procedures, business and compliance processes to identify and bridge potential gaps in

  adherence to applicable laws, regulations, regulatory guidance and policy.

• Support the compliance department with the task of maintaining appropriate and complete

  books and records on compliance related processes and also effective testing of

  processes.

  
  
  

• Proactively respond to business and regulatory changes as they apply to firm’s business activities.

Qualifications:

• 2+ years of prior experience in compliance, preferably at an investment advisory firm.

• Self-driven and able to work independently. Exceptional organizational skills; the ability to

  effectively prioritize tasks, follow up, produce consistently accurate work, and meet strict

  deadlines.

• Strong problem-solving skills and detail-oriented. Driven by a sense of curiosity and desire to understand context around matters.

• Strong communication and presentation skills; the ability to articulate clear ideas/strategies, both verbally and in writing, internally and externally.

• Intelligent, bright, critical thinker, and a quick learner with the ability to quickly assess a situation and generate new insights and usable ideas.

• Have a strong sense of integrity, behaving consistently with expressed values and ethical

  principles of the firm.

• A degree in finance, economics, or a related field.

At Canterbury, we expect our Associates to learn at a fast pace in a demanding environment and

demonstrate excellent problem solving and interpersonal skills. From your first day on the job, you

will be an integral part of the Canterbury process.

Compensation and Benefits

• $75,000 - $85,000/year

• Benefits package includes: medical, dental, life, disability, and vision insurance

• 401k program with a company match

• Profit sharing plan

• 12 paid holidays and 17 days of paid time off the first year of employment

• Flexible schedule options

Physical Requirements

• Musculoskeletal Endurance: Ability to remain in a stationary position for extended

  periods

• Manual Dexterity: Frequently operates a computer and other office equipment

• Visual Acuity: Must be able to visually inspect documents and computer screens for

  accuracy

• Mobility: Occasionally move objects up to 25 pounds

  
  
  

  Work Environment

• Environmental Conditions: The work is performed in a typical office environment

  with moderate noise levels and controlled temperatures

• Collaboration: Collaborative and team-oriented culture with regular staff meetings

  and events

• Communication: Must be able to communicate effectively with team members and