Compliance Associate

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Sprott is a global leader in precious metal and critical materials investments. We are specialists. Our in-depth knowledge, experience and relationships separate us from the generalists. Our investment strategies include Exchange Listed Products, Managed Equities and Private Strategies. Sprott has offices in Toronto, New York, Connecticut and Carlsbad and the company's common shares are listed on the New York Stock Exchange and the Toronto Stock Exchange under the symbol (SII). For more information, please visit www.sprott.com.

Sprott USA, a division of the Sprott Group of Companies, provides US and international investors with a full range of precious metals and critical materials investment options, including separately managed accounts and private placements.

Position Description

Sprott USA is looking for a highly motivated full-time Compliance Associate to join its team in its Carlsbad office. This position will report to the Chief Compliance Officer and be responsible for assisting in administering the compliance program for three U.S. based affiliates of Sprott. The Compliance Associate will also work in close concert with the Operations team and other departments.

Responsibilities include:

• Internal Compliance testing for all US Sprott entities;
• Maintain and update MyComplianceOffice ("MCO"), including review of personal trade exceptions and alerts, data feeds, employee trading accounts, and personal trading statements;
• Collect and review employee personal trading statements on a monthly basis;
• Manage and distribute Restricted Lists for all Sprott entities;
• Maintain NDA file and logs for Lending and Streaming Teams;
• Ensure timely completion of quarterly and annual employee attestations;
• FINRA Private Placement Filings, including Reg M 5190 Filings and 5123 Filings;
• Assist with Form PF quarterly updates;
• Assist with Form ADV annual updates;
• Work with the Chief Compliance Officer to maintain Policy and Procedure manuals for all US entities;
• Assist with annual anti-money laundering (AML) and enterprise risk management (ERM) audits;
• Manage and track new employee onboarding;
• Manage compliance training program, and maintain records of completed trainings by all US employees;
• Maintain all files, logs, and documentation as required under the US Compliance Program;
• Provide support for regulatory examinations and audits, as needed;
• Assist with marketing material review, as needed;
• Complete ad hoc Compliance or Legal related tasks and training as needed; and
• Stay current and up to date on regulatory developments.

Position Requirements:

• Bachelor's Degree preferred;
• Experience working in investment or financial services preferred;
• Experience in area of private placements or limited partnerships preferred;
• Experience with Microsoft Office suite - especially Microsoft Excel and Word;
• Excellent communication skills, both written and verbal;
• Great attention to detail; and
• Knowledge of DocuSign preferred.

To apply for this position, please include a resume and cover letter with your submission. We thank all applicants for their interest; however, only qualified candidates as determined by Sprott will be contacted. Sprott does not accept unsolicited agency resumes or phone calls.

Sprott welcomes and encourages applications from people with disabilities. Please let us know if we can provide accommodations to support your participation in Sprott's recruitment process.

Sprott is an Equal Opportunity Employer.