Additional tasks may include but are not limited to: vendor management and certification, RFP/DDQ completion, various support to mutual funds, website monitoring, regulatory audit assistance, sweeps and communication, reviewing new product offerings and corporate governance.Provide independent review and challenge on various line of business activities.Assist with regulatory compliance exams.Proactively identify process improvements or control gaps and facilitate necessary associated changes.Provide oversight and monitoring of line of business processes and controls.Develop relationships of trust and confidence with the designated lines of business.For assigned lines of business, serve as the corporate subject matter expert for all compliance risks.As subject matter expert, the Compliance Officer will provide consultative advice, perform oversight activities and assume responsibility for mitigating and discouraging actions that may expose the firm to risk outside its desired risk appetite.The Compliance Officer will provide support by researching, interpreting and assisting with applying the related laws and regulations.Assess third party vendors for adherence to standards.Escalate potentially high-risk issues to management when necessary.Maintain the firm’s compliance and reporting system.Complete special projects aimed at strengthening Ancora’s internal and external risk profile.Only individuals looking to continually expand their knowledge, excel in their duties and advance within the firm should apply. This role can expect to have very few barriers to entry on information and offers the ability to gain an enormous amount of knowledge about the Compliance, Risk and Legal functions within the investment industry.
A positive attitude coupled with the ability to multitask, communicate ideas well and possess a strong set of analytical skills are needed to be successful in this role. These personality traits are particularly important due to the critical nature and sensitivity of the information that the teams have access to.Īt Ancora, we strive for excellence and we expect client relations and internal interactions to be reflective of our high standards. Having the mentality that no matter how large or small a task, you will meet the challenge head on with the highest level of care and effort, is a shared trait within the teams and expected of all the members. Ancora’s Compliance and Risk teams strive to develop and maintain a culture of professional, ethical and responsible behavior through the cultivation of strong relationships across the teams. These initiatives include identifying and mitigating potential internal and external conflicts and risks to our organization, maintaining the critical compliance infrastructure, and becoming a subject matter expert when needed. Ancora is seeking a highly accountable and diligent individual to support the critically important compliance initiatives of the firm, which are led by the Chief Compliance Officer and Chief Risk Officer.
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