Compliance Analyst Asset Management Specialist

3 weeks ago


Reston, Virginia, United States CI Segall Bryant & Hamill Full time

Segall Bryant & Hamill is an investment firm with a long history of helping clients achieve their long-term investment objectives through a disciplined process. Our firm offers a range of investment strategies and is committed to building strong relationships with our clients in the Advisor Solutions and Institutional channels.

As a compliance analyst asset management specialist, you will have the opportunity to work with securities laws, rules and regulations applicable to registered investment advisers and private fund offerings. You will be responsible for maintaining, updating and overseeing compliance monitoring tools to aid in the adherence to client guidelines and the enforcement of the Code of Ethics and Compliance Manual.

Key Responsibilities

  • Implement and monitor investment restrictions in accordance with client investment guidelines.
  • Analyze data requirements for financial and regulatory reporting to various agencies.
  • Collaborate with the Compliance team on review of regulations and make appropriate updates and recommendations to regulatory documents, policies, and procedures.
  • Prepare and assist in completing and reviewing periodic compliance and due diligence questionnaires.

Requirements

  • Bachelor's Degree in a business-related area of study, with additional certifications a plus.
  • 2 years of work experience in compliance with a Registered Investment Adviser, preferably with asset management industry knowledge.
  • Commitment to high ethical standards and a strong understanding of the business operations, practices, procedures, and controls specific to the business units supported.

What We Offer

  • A culture defined by a core set of values which guide the advice we provide, the strategies we recommend, the way we manage client portfolios and the way we treat our employees.
  • A diverse and inclusive work environment where individuals from varied backgrounds are brought together, treated with respect, supported and valued.
  • Autonomy and accountability.
  • Benefits and work/life balance to meet each employee at their stage in life.
  • Programs so employees can take an active role in the communities where they live & work.
  • A performance management program and a dedicated Compensation Committee to ensure competitive compensation packages.

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