Core Compliance Analyst

1 week ago

New York, United States Michael Page Full time

Engage in the full spectrum of core compliance responsibilities as you grow your knowledge and expertise across a continuously expanding space in the investment advisory universe.

Client Details

Client is a global independent investment advisory firm.

Description



  1. Responsibilities:

    • Support the Core Compliance team in various tasks related to onboarding, registrations, and exam scheduling.
    • Assist in maintaining and monitoring regulatory requirements for registered representatives.


    Core Compliance Team Areas of Responsibility:

    • Anti-Money Laundering (AML) compliance
    • Sanctions compliance
    • Anti-Bribery and Anti-Corruption policies
    • Management of Gifts & Entertainment policies
    • Oversight of Political Contributions
    • Handling of Registrations and Continuing Education
    • Monitoring Personal Account Disclosures
    • Organizing Employee Training and Certifications
    • Managing Outside Business Activities
    • Overseeing Private Investments
    • Surveillance of Electronic Communications
    • Conducting Testing and Supervision activities
    • Developing and enforcing Policies and Procedures
    • Managing Regulatory Inquiries




Profile

Here's the reworded version of the qualifications and skills:



Qualifications:

  • Bachelor's degree (B.A.) required.
  • At least 3 years of experience in Compliance, Risk Management, or a related field.
  • Solid understanding of regulatory requirements and industry best practices within Compliance.
  • Exceptional attention to detail with the ability to identify discrepancies, trends, and compliance risks.
  • Strong project management abilities, capable of managing multiple projects simultaneously in a fast-paced environment.
  • Excellent problem-solving skills with the ability to create practical, actionable solutions.
  • Highly organized, able to meet tight deadlines and adapt to shifting priorities.
  • Capacity to work both independently and collaboratively within a cross-functional team.
  • Outstanding written and verbal communication skills, with the ability to engage effectively with employees at all levels.
  • High ethical standards, strong judgment, and a commitment to confidentiality and integrity in all compliance matters.
  • Proficient in Microsoft Office Suite (Word, Excel, PowerPoint); experience with compliance management software is a plus.

Job Offer

Candidate has the opportunity to grow long term with a firm dedicated to their development. Candidate will be able to advance themselves holistically as a compliance officer.

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.

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