Risk & Compliance Analyst

2 weeks ago


Philadelphia, United States Top Stack Full time

Our client, a respected leader in the financial services industry is seeking a Risk and Compliance professional to support their distribution-compliance team. This role is integral to ensuring compliance with marketing material reviews, broker-dealer regulations, cross-border distribution, and anti-money laundering (AML) requirements.

Key Responsibilities:

  • Review marketing materials for compliance with relevant regulatory standards (SEC, FINRA, etc.).
  • Oversee email communications for investment adviser and broker-dealer compliance.
  • Assist in managing the regulatory framework for broker-dealers and registered representatives.
  • Collaborate with global teams to ensure cross-border distribution compliance.
  • Contribute to the firms regulatory obligations, including analysis of existing and new regulations and testing the effectiveness of the broker-dealer compliance program.
  • Ensure AML compliance, focusing on US and Cayman Islands regulations.
  • Participate in ad hoc projects within Risk & Compliance.

Qualifications:

  • Bachelors degree required.
  • 1 plus years of experience in investment management.
  • Must have SIE and Series 7 certifications required
  • Series 24 to be obtained within 90 days of start.
  • Proficiency in Microsoft Excel, Word, and PowerPoint; Adobe Pro knowledge is a plus.
  • Strong analytical skills with the ability to challenge processes when necessary.
  • Excellent written and oral communication skills.
  • Ability to prioritize and manage multiple tasks effectively.

Work Conditions:

  • Hybrid work environment with a minimum of three days per week in the office.


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