The Role
The Compliance Associate will design, implement, and monitor compliance policies, assist with regulatory compliance for Wasatch, and train staff. Responsibilities include managing compliance calendars, reviewing marketing materials, and collaborating with the Legal department.
Summary Generated by Built In
ABOUT WASATCH: Wasatch Global Investors is an SEC-registered investment adviser based in Salt Lake City, Utah. Wasatch was founded in 1975 and has developed a fundamental, bottom-up research method that focuses on the long-term growth potential of companies and finding market inefficiencies. Wasatch manages the Wasatch Funds Trust, a family of registered investment companies, along with separate accounts for institutional investors.
Wasatch is 100% employee-owned with over 40 shareholders. Our autonomy fosters an entrepreneurial spirit and pride that promotes collaboration and teamwork. Years of experience have convinced us that the best ideas and insights come from subjecting our efforts to the scrutiny of multiple eyes. At Wasatch, we generate our own investment ideas and leverage our collective experience to create results for our clients.
JOB LOCATION: Salt Lake City, Utah
JOB DESCRIPTION AND DUTIES: Wasatch is looking to add an associate to its Legal and Compliance department. As a registered investment adviser Wasatch is required to adopt policies and procedures to avoid violation of securities laws. Responsibilities will include designing, implementing, and monitoring compliance policies and procedures to ensure compliance with federal and state regulatory requirements for a registered investment adviser. The compliance program for Wasatch as an adviser includes areas such as public disclosures, advertising, proxy voting, privacy, cybersecurity, and several trading policies. In addition, Wasatch is responsible for adopting and monitoring a compliance program for the Wasatch Funds.
The Compliance Associate will be expected to:
· Work closely with other members of the Compliance and Legal department on compliance matters and issues daily;
· Become the point person on certain compliance matters and issues and become involved in analyzing and resolving significant compliance issues that arise;
· Work on identifying risks, establishing policies and procedures to address those risks, and then implementing those policies and procedures;
· Undertake testing and evaluation of the firm’s compliance practices;
· Review advertising and marketing materials for compliance;
· Maintain and work to a compliance calendar that identifies all important dates by which regulatory, client reporting, and other compliance matters must be completed to ensure that important deadlines are not missed;
· Remain current on regulatory and compliance issues and participates in continuing education programs;
· Assist in training Wasatch employees in compliance-related matters.
QUALIFICATIONS
· Self-motivated but collaborative, team-first approach with a problem-solving mindset.
· Skilled in both verbal and written communication.
· Knowledge of relevant legal and regulatory requirements, standards and principles governing Registered Investment Advisers and Registered Investment Companies is a plus.
· Ability to maintain a high degree of sensitivity and exercise discretion on confidential matters is mandatory.
· Demonstrated ability to organize, set priorities, and manage multiple competing deadlines simultaneously.
· Minimum of bachelor’s degree required.
· Direct compliance experience in the financial services industry is preferred.
*Investment Adviser Certified Compliance Professional (IACCP), Certified Compliance and Ethics Professional Certification (CCEP), Certified Regulatory and Compliance Professional (CRCP), or similar professional certification is a plus.
This job description is intended only to describe the general nature of the position and does not constitute an all-inclusive list of duties, nor of the knowledge, skills, and abilities required to perform the job.
Wasatch Global Investors is an Equal Opportunity Employer. In order to provide equal employment and advancement opportunities to all individuals, employment decisions at Wasatch Global Investors will be based on merit, qualifications, abilities and other legitimate business factors. Wasatch Global Investors does not discriminate in employment opportunities or practices on the basis of race, color, religion, sex (including pregnancy and gender), sexual orientation, gender identity, disability, national origin, ethnic background, age (40 and over), genetic information (including of a family member), military service, citizenship and/or any other characteristic protected by applicable law.
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The Company
What We Do
Wasatch Global Investors is a 100% employee-owned investment manager founded in 1975 and headquartered in Salt Lake City, Utah. Named after the nearby Wasatch Mountain Range, the firm brings unparalleled experience to U.S. and international micro-, small- and mid-cap investing with a culture that emphasizes collaboration, excellence and intellectual curiosity. Wasatch Global Investors is registered with the Securities and Exchange Commission under the Investment Advisers Act of 1940. Learn more at wasatchglobal.com.
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