Compliance Analyst

4 weeks ago

Chicago, United States Harrison Gray Search Full time

Harrison Gray Search has partnered with a unique investment management firm to find the next member of their Governance, Risk, and Compliance team in Chicago.


The Governance, Risk & Compliance Analyst is responsible for identifying and mitigating risks across the department. These risks may include operational, regulatory, and compliance risks. The individual will consistently adhere to and review controls in place to properly verify the identity of new shareholders, suspicious activity, and fraud. The position is also responsible for executing a variety of governance and compliance programs related to relationship management, data security, escheatment, Blue Sky, anti-money laundering, market timing, and more. The team in which the job resides facilitates both internal and external audits with government entities, Big Four firms, and Self-Regulatory Organizations.


Key Responsibilities

  • Work with team members to complete workflows that relate to new shareholders, Suspicious Activity, and other generated reports pertaining to departmental risks (CIP and Principal review)
  • Constantly review all AML-related reporting and dashboard data. Coordinate quarterly AML Certification Meetings with AML Compliance Officers (AMLCO)
  • Facilitate the annual AML Program review performed by outside auditing firms.
  • Properly escalate suspicious persons/items to AMLCOs
  • Prepare Suspicious Activity Reports (SARs) as directed by AMLCOs.
  • Perform recurring assessments of department risk and controls to contribute to enterprise risk assessments.
  • Perform daily review of Blue-Sky transaction reports and invoicing.
  • Create and maintain governance programs related to relationship management with third-party service providers.
  • Oversee additional governance programs associated with change management and data security.
  • Coordinate the distribution process for regulatory mailings of Annual and Semi-Annual Reports, and Prospectuses, ensuring timely delivery to shareholders and interested parties.
  • Participate in industry calls that pertain to risk and regulatory-related topics for departmental dissemination and implementation of controls.
  • Provide ongoing monitoring of shareholder market timing (22c-2) and subsequent reporting to executives regarding the details of these transactions.
  • Monitor and report accounts that are eligible for state escheatment and ensure operations are following industry and state standards.
  • Other duties as assigned


Minimum Qualifications

  • Bachelor’s degree, preferably in Finance, or other business-related concentration
  • 2-5 years of financial services industry experience with a focus on risk and/or compliance preferred.
  • Prior experience within a compliance or regulatory role is preferred.
  • Remarkable business writing skills to provide clear and concise reports to management and executives.
  • FINRA Series 6 and 63 required; Series 26 preferred (required to be obtained within 90 days of hire).
  • Certified Anti-Money Laundering Specialist (CAMS) Certification is recommended.


Knowledge, Skills & Abilities Required

  • Thorough understanding of investment products such as mutual funds, collective investment trusts, and Exchange Traded Funds
  • Data analytic skills to analyze reports and data sets to reach reasonable conclusions on shareholder activity.
  • Knowledge of Bank Secrecy Act (USA Patriot Act), Anti-Money Laundering regulations, privacy laws, and fraud trends
  • Ability to make good judgments regarding escalating items to management, and executives if needed.
  • Experience applying investigative techniques to identify risks.
  • Strong verbal and written communication skills for handling sensitive items, shareholder requests, and working with intermediary back-office support staff along with vendors.
  • Excellent organizational, time management, analytical, written, and verbal communication skills
  • Ability to work in a fast-paced, and constantly changing environment.
  • Ability to shift focus dependent on the need of the department to support teamwork.
  • Strong technical abilities in Microsoft Office 365 (Outlook, Word, Excel, SharePoint, Teams).

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