Regulatory Compliance Analyst
3 months ago
Regulatory Compliance Analyst
Our client, a Financial Services Firm located outside Philadelphia, is seeking a Regulatory Compliance Analyst.
***This is a full-time, hybrid, direct-hire role. The position is in the office 2 days per week.
***Local candidates only; not open to relocation.
Responsibilities:
- Data Management & Issue Resolution: Collaborate with team members to gather and manage data from various sources, ensuring timely resolution of issues and accurate responses to third-party documentation requests.
- Communication Oversight: Monitor employee electronic communications to maintain compliance and protect the integrity of our operations.
- Regulatory Records Management: Maintain and organize the firm’s compliance calendar, regulatory books, and records, ensuring everything is up-to-date and in order.
- Ethics Compliance: Oversee the Code of Ethics monitoring system, including the deployment and review of initial, quarterly, and annual certifications.
- Conflict of Interest Review: Evaluate personal securities transactions and potential conflicts of interest, ensuring adherence to our Code of Ethics and policies on outside business activities, gifts, entertainment, and political contributions.
- Service Provider Monitoring: Coordinate and track service provider compliance with our policies through a structured monitoring process.
- Risk Assessment & Testing: Support our risk assessment process by conducting thorough compliance testing on an annual and periodic basis.
- Training & Presentation: Assist in preparing presentation and training materials for employees, Governance Committees, and the Board.
- Vendor Oversight: Work with the CCO and Compliance Manager in overseeing third-party managers and vendors by preparing and distributing due diligence questionnaires.
- Reporting: Contribute to the preparation of quarterly and annual reports for the Governance Committee and Trust CCO.
- Regulatory Filings & Manual Maintenance: Assist in preparing regulatory filings, performing service provider reviews, and maintaining the compliance manual.
- Cross-Departmental Communication: Maintain strong, transparent communication with all departments and staff to ensure cohesive and effective compliance operations.
Experience:
- In-depth knowledge of the Investment Advisers Act of 1940 and Investment Company Act of 1940.
- 3+ years of compliance experience within financial services (RIA or RIC).
- Experience with employee compliance monitoring systems, ComplySci, Global Relay.
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