• Compliance Senior Associate

    Job Locations US-CA-San Francisco
    Job ID
    2018-1068
    Category
    Legal/Compliance
    Type
    Regular Full-Time
  • Description

    FIRM OVERVIEW:


    Hall Capital Partners is an independent, privately owned, SEC-registered investment advisor that builds and manages multi-asset class global investment portfolios for families, endowments, and foundations. As of June 30, 2018 we direct approximately $32.6 billion of investment assets for our clients and a platform of pooled vehicles. Founded in 1994, our firm has approximately 160 employees that operate from offices in San Francisco and New York. We are typically responsible for investment strategy, asset allocation, and portfolio construction for globally diversified investment portfolios. The firm has a 24-year record of building and managing global investment portfolios and has established a strong reputation as a successful investor and partner. For many clients, we contribute significantly to other aspects of financial strategy, such as managing and diversifying concentrated public stock positions or advising on and facilitating wealth transfer and philanthropic strategies. We also manage private pooled vehicles. Our culture is centered on integrity, intellectual rigor, curiosity, client focus, performance, and fulfillment of our fiduciary responsibilities.

     

    HALL CAPITAL PARTNERS IS COMMITTED TO ATTRACTING, RETAINING, ENGAGING, AND DEVELOPING A POOL OF TALENT THAT IS DIVERSE ALONG MANY DIMENSIONS. WE SEEK TO LEVERAGE THESE DIVERSE EXPERIENCES, BACKGROUNDS AND VIEWPOINTS TO BEST SERVE THE NEEDS OF OUR CLIENTS

     

    POSITION TITLE:


    Compliance Senior Associate

     

    The Compliance Senior Associate will be a key member of the Legal/Compliance team supporting the organization. This person will report to the Chief Compliance Officer/General Counsel and the Deputy Chief Compliance Officer. This position will have direct contact with employees and external vendors. Hall Capital is looking for a highly organized, energetic professional to support and reinforce our strong internal customer service culture. This is an excellent opportunity to continue building a career in compliance as part of a world class organization whose values of RESULTS, INTENSITY, TRANSPARENCY AND CREATIVITY speak to the culture of our organization.

     

    RESPONSIBILITIES OVERVIEW:


    • Work with the General Counsel/Chief Compliance Officer and Deputy Chief Compliance Officer to maintain the firm’s compliance programs and certain legal-related matters.
    • Assist in development, implementation, and enforcement of laws and compliance policies and procedures.
    • Responsible for maintaining compliance calendar and testing, follow up, and documentation of tests including, drafting memos, maintaining spreadsheets, and keeping calendar up-to-date, all in a timely manner.
    • Responsible for many regulatory filings, including but not limited to TIC Forms (Federal Reserve); BEA filings; SEC Forms 13F and 13H; filings with Chinese securities regulator; participate in other regulatory filings, including Forms ADV and PF, and related duties; understand the requirements reflected by these filings.
    • Responsible for analyzing firm’s status with respect to CFTC rules, including analysis of, and supervision of gathering, extensive data with respect to status of funds in which clients and the HCP pooled vehicles invest.
    • Work on custody issues and custody audit.
    • Handle Code of Ethics-related tasks, including personal trading matters.
    • Activities related to automated compliance systems, including obtaining and maintaining employee holdings reports, trade approvals, certifications; arranging and implementing new brokerage feeds.
    • Handle political contribution requests, including factual research of status of candidate in light of SEC rules; make recommendations regarding handling, subject to supervisor approval.
    • Handle new hire and terminated employee compliance requirements.
    • Create and conduct compliance training including of new employees; explain company policies and requirements to others within the firm.
    • Responsible for cybersecurity and information security from a compliance standpoint.
    • Research and understand regulatory requirements, including complex requirements.
    • Review documents such as brokerage forms, contracts, and other legal documents.
    • Serve as liaison between Hall Capital and external service providers and counterparties as needed, including vendors and broker-dealers.
    • Develop and prepare preliminary drafts of compliance policies and procedures.
    • Work on monthly and other compliance work, reports, risk assessments and mitigation; assist in revising and updating Compliance Manual, Code of Ethics, and other documents; other compliance activities.

     

    Other/General
    • Research, analyze, and draft memos and external communications.
    • Be involved in special projects as needed.
    • Create and maintain databases, legal files, and compliance records (electronic and paper).
    • Identify areas for improvement and solutions; problem-solving.

     

    PREFERRED QUALIFICATIONS:


    • Bachelor’s degree with a GPA greater than 3.0.
    • At least 5 years experience working in legal and/or compliance in the financial services industry, preferably with an SEC-registered investment adviser, private fund(s), or consulting firm.
    • General working knowledge of relevant federal securities laws and associated rules (e.g., Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Exchange Act of 1934).
    • Superior skills with advanced Excel (e.g., formulas, macros, and user defined functions) and other Microsoft Office applications required. Other automation-related familiarity desirable.
    • Strong quantitative skills.
    • Must be able to work well with and coordinate with many people in departments across the firm.
    • Extremely organized, detail oriented, with the ability to multi-task, effectively balance day-to-day duties and project work, and meet deadlines.
    • Demonstrated problem solving and analytical skills.
    • Strong written and oral communication skills. Must be able to write short memos documenting compliance tests or events.
    • Think and plan ahead, anticipate the unexpected.
    • The ability to handle pressure and work in a fast-paced, deadline driven environment.
    • Flexible and willing to work overtime if needed.

     

    PERSONAL ATTRIBUTES:
    • Professional
    • Efficient
    • Intellectually curious
    • Independent and team oriented
    • Self-motivated
    • Solutions oriented
    • Accountable
    • Results Driven
    • Detail oriented
    • Able to problem solve
    • Energetic, creative, and positive
    • Collaborative and flexible
    • Respectful

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