Compliance Associate

Who are we

Were Chandler Asset Management an employeeowned and independent financial services company; our concentration centers on managing taxable fixed income portfolios that are aligned with our institutional clients needs. We manage over $42 billion in assets and believe in the philosophy of creating value and managing risk with active management using robust quantitative analysis and qualitative insights.

What do we value

Great People with Great Values. Integrity service excellence education and teamwork are the values that define the culture at Chandler Asset Management.

In addition to our core values our culture is defined by 27 fundamental behaviors that describe our culture set us apart and drive our success. From the beginning weve always wanted to deliver total piece of mind through extraordinary performance. We believe our extraordinary performance and culture are driven by our dedicated and committed people.

Whats the job all about

The Compliance Associate plays a role in maintaining and enhancing the integrity of our compliance framework. This foundational position involves diligent monitoring of compliance measures reviewing investment policies coding investment restrictions and bolstering the compliance teams efforts. The role is integral to the operational effectiveness of the compliance department requiring a detailoriented and proactive approach to ensure adherence to regulatory standards and internal guidelines. This position is a hybrid role based out of our San Diego CA office.

The essential functions include but are not limited to the following:

• Assist senior team members with compliance monitoring using Bloomberg AIM and identify and report basic compliance gaps.
• Support the review process of investment policies and report any inconsistencies.
• Aid in coding investment restrictions and report coding anomalies.
• Participate in both periodic and regular compliance reviews and prepare basic documentation.
• Support compliance reviews of client statements; internal and external followup on deficiencies.
• Support senior staff in risk assessment processes and document findings.
• Assist in drafting new policies solicit feedback and make necessary revisions.
• Help with regulatory filings and reporting and document all regulatory activities.
• Assist in record retention oversight and familiarize with company record retention guidelines.
• Willingness to obtain relevant industry registrations and certifications within 24 months.

This Team Member will have:

• Education: A Bachelors degree in a relevant field is required.
• Industry Experience: 03 years of experience in a related field is necessary.
• Technical Proficiency: Expertise in Microsoft Office Suite and CRM applications required. Familiarity with Bloomberg AIM and SQL is preferred.
• Communication Skills: Exceptional written and verbal communication skills are essential.
• Research & Update: Must stay regularly updated on industry norms and practices.

What we can offer you!

Medical Dental Vision HSA & FSA

Life & AD&D

ShortTerm & LongTerm Disability

Accident & Critical Illness

Employee Assistance Program

Employee 401(k) Plan

ESOP

Employee Discounts

Paid Time Off

Paid Holidays

Fun Company Events

Ready to join our team!

Please note before submitting an application: as a company we take hiring very seriously. Although we are unable to followup with each and every applicant we do our best to run a thorough process for candidates with whom we identify a potential fit. Chandler Asset Management provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race religion color sex gender sexual orientation pregnancy age national origin ancestry physical/mental disability medical condition military/veteran status genetic information marital status ethnicity alienage or any other protected classification in accordance with applicable federal state and local laws. Those applicants requiring accommodation to complete the application and/or interview process should contact a management representative.