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Investment Compliance Analyst
2 months ago
Our client is seeking an analytical & detail-oriented individual with excellent project management skills to join their Compliance Department. The ideal candidate should demonstrate excellent communication & interpersonal skills, sound judgement, curiosity, and adaptability.
Reporting to a senior manager within the compliance Department, the Investment Compliance analyst will be a member of the Investment Management Compliance team, which is responsible for administering various Compliance programs in support of the firm's proprietary mutual funds, registered investment adviser, broker-dealer, and bank/trust company activities.
Principal Responsibilities
- Conduct testing of various controls in accordance with SEC Rules 38a-1 and 206(4)-7; report results & provide any recommendations
- Assist with portfolio compliance monitoring
- Assist with the development, tracking & delivery of Compliance training
- Assist in the maintenance of Compliance policies & procedures
- Assist in the production of board & committee materials, and other reporting as needed
- Assist with Compliance due diligence of service providers, including sub-adviser, mutual fund administrator, transfer agent, and distributor on-site visits & questionnaires
- Assist with personal trading, outside business activity, gifts & entertainment & electronic communications review
- Assist with AML monitoring & surveillance
- Keep current on applicable laws & regulations, particularly those promulgated by the SEC, FINRA, bank regulators, & industry best practices
- Assist with responding to regulatory exams & internal audit requests
Qualifications:
- Bachelor's degree required; other advanced degrees, certifications, experience & training, plus (JD, CFA, experience working at a regulator)
- 4-7 years of Compliance, Risk, Audit, Banking, Finance
- Excellent written & oral communication skills
- Proficient in Microsoft Word, Excel, Outlook, and PowerPoint
- Proficient in Qlik, Bloomberg, Longview and MyComplicanceOffice is a plus
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