Compliance Senior Associate

Aduro Advisors is looking for bright and talented individuals to join our team working to support top-tier clients in the Venture Capital & Private Equity space. The Compliance Senior Associate will report to the Head of Compliance and work with them to expand this department and service offering to meet the increasing compliance and regulatory obligations of our clients.  They will be a primary contact for client relationships, executing our mission of practical technical excellence, and supporting the growth and development of this service offering.

Why Aduro?

We’re not your typical fund administrators. We’re modern, innovative, and backed by deep industry experience, allowing our clients to focus on investing while we handle the details. We pride ourselves on providing our clients with thoughtful and adaptable service while leveraging best-in-class technology.

We thrive in a people-first culture where each team member can impact the success of the business. We do this by investing heavily in training and development programs, providing ample opportunities for growth, and focusing on fostering a culture of collaboration and community.

The Compliance Senior Associate will be responsible for performing the day-to-day delivery of our compliance service offering for our client base. Knowledge of the pillars of an effective AML/CFT program and industry experience will enable you to best support your team and our clients. This is not a single focus role; the Compliance Senior Associate will balance the needs of our clients with the needs of their team to support business-oriented solutions. Ideal candidates are technically proficient, thoughtful team players who believe in working collaboratively so that the team can provide top-notch service to our clients. 

Here is the type of work you will do:

• Execute the day-to-day delivery of Aduro’s Compliance offering, which supports clients in the implementation of an Anti-Money Laundering and Countering the Financing of Terrorism (AML/CFT) program in accordance with regulations applicable to Registered Investment Advisors and Exempt Reporting Advisors
• Support the development, implementation and monitoring of compliance processes 
• Support the Compliance Manager and Head of Compliance in the delivery of AML/CFT/KYC services to Aduro clients
• Help deliver excellent client service by building new relationships and cultivate existing client relationships
• Support the Compliance Manager and Head of Compliance in updating processes to ensure compliance with the regulatory obligations of  Aduro’s client base (Fund Managers who are Exempt Reporting Advisors and Registered Investment Advisors) by staying curious and up-to-date on emerging compliance requirements and issues
• Investigate and act to resolve any compliance matters identified by controls and processes
• Identify and escalate key risks or service issues to the Compliance Manager
• Support the Compliance Manager and Head of Compliance in communicating with various clients, legal counsel, and regulatory authorities, as needed
• Perform initial compliance reviews and ongoing monitoring activities
• Ensure adequate compliance documentation and retention is maintained for each client record to comply with applicable regulations and/or industry best practices
• Become proficient in Aduro’s Client Lifecyle Management software (to promote efficiency and protect Aduro and our clients from legal and regulatory risk
• Collaborate with other departments (including Service Teams, Onboarding team, Investor Services, etc) as needed to ensure compliance issues are addressed and to strengthen the compliance program through monitoring and testing of controls.
• Support the Compliance Manager and Head of Compliance in developing and providing annual and periodic training to the wider Aduro service teams on: compliance policies and procedures, emerging compliance issues and related matters. 
• Manage special projects, when requested 
• Support the Compliance Manager and Head of Compliance on internal reporting as it relates to Compliance services or matters affecting our client base

The salary range for the Compliance Senior Associate position is $70,000-$90,000. Salary is determined based on current market data and candidate experience level. 

Perks of Working at Aduro:

• Competitive salary 
• Health/Dental/Vision Insurance
• Life Insurance
• Short-Term Disability
• Long-Term Disability
• Paid Time Off (PTO)
• 401k with Employer Match
• Company-wide social events and programs
• Dog-friendly office in downtown Denver

• 3+ years of compliance experience in the alternative asset industry; Venture Capital and/or Private Equity experience is preferred
• Knowledge of the U.S. Securities Act of 1933, Investment Advisors Act of 1940 and Investment Company Act of 1940 and broad knowledge of other federal and state securities laws and regulations applicable to alternative asset funds and investment advisers.
• Experience supporting programs that comply AML/CFT standards according to various regulations, including FinCEN regulations
• Experience with the compliance requirements of offshore funds (eg Cayman Islands) is a plus
• Understanding of and experience ensuring compliance with the Foreign Corrupt Practices Act, anti-money laundering laws, and regulatory regimes of regulators such as the SEC and FINRA.
• Strong professional verbal and written communication skills and ability to interpret regulatory requirements and align with business needs and objectives. 
• You are able to identify and escalate sensitive inquiries or complaints, and maintain confidentiality at all times 
• You take ownership of your own personal growth and development and have a desire to learn
• You have experience in a client-facing role on multiple clients 
• You are naturally resourceful, driven and have strong problem-solving skills
• You see the value in providing excellent client service, being thoughtful and know the details make the difference
• Thrive independently and as part of a team
• You have experience in compliance systems and processes (any experience with World-Check One, Fenergo, Orbis and Kompany is a plus)
• You are comfortable with software systems including G-suite, Microsoft Office, Box, Slack 

You should possess the following

• Minimum of a Bachelor's degree from a four-year college or university. Advanced degree in law or business is a plus
• Compliance certifications such as CAMS, CRCM, CRCP, FINRA Series highly preferred.
• 3+ years of experience
• Ability to multi-task and meet deadlines
• Strong work ethic
• Excellent verbal and written communication skills
• Strong organizational and analytical skills