As a Compliance Assistant, you will play a key role in ensuring compliance with Registered Investment Adviser, SEC regulations and general business matters. You will have the opportunity to identify and implement process and system enhancements. Responsibilities include but are not limited to:
- Initial and annual form D filings.
- Initial and annual filing of exemptions.
- Monitor activity for Blue Sky reporting.
- Review electronic communications for compliance.
- Obtain and review quarterly investment holdings of key personnel for compliance.
- Assist with policy reviews and updates and track acknowledgments by employees.
- Process annual and periodic ADV updates.
- Assist with legal document updates.
- Maintain updated fund offering packages.
- Assist with entity creation and establishment of bank accounts.
- Develop strong relationships with third-party service providers, as well as internal operations, client experience, investment, and technology teams.
- Assist other teams with administrative and operational matters.
The ideal candidate for this position has rigorous attention to detail, must be customer-focused, and enjoy working in a collaborative, dynamic environment. Specific qualifications include:
- Ability to adapt to changing priorities, work on multiple assignments, and deliver under compressed timelines.
- Strong attention to detail.
- Initiative to learn regulatory processes and systems.
- Desire to learn and optimize the use of propriety software systems.
- Ability to streamline and document processes.
Location: Indianapolis (in office)
Reports to: Chief Financial Officer and Chief Compliance Officer
Status: Full-time, Exempt
Contact: [email protected]
Proteus is a financial technology company providing investment advisors and their ultra-high net-worth clients a sophisticated platform to access alternative investments. Proteus’ cloud-based platform is a unique end-to-end solution to source, execute and manage investments, as well as easily review portfolio performance.
At Proteus we work hard, with a sense of urgency, focused on producing results. We are self-motivated individuals who take pride in the quality of our contributions and embrace others’ ideas so we can learn and grow individually and as an organization. We enjoy the friendships and accomplishments that come from collaborating with an innovative group of professionals.
Proteus is an Equal Opportunity Employer and does not discriminate against any employee or applicant for employment because of race, color, sex, age, national origin, religion, sexual orientation, gender identity, status as a veteran, and basis of disability, or any other federal, state or local protected class.