Regulatory Compliance Specialist
1 week ago
Are you ready to leverage your expertise in compliance to minimize financial risks and foster client trust? At Brandes Investment Partners, LP, we are seeking a dedicated Compliance Analyst to ensure our competitive edge in the marketplace.
Key Responsibilities:
- Evaluate, formulate, and implement compliance protocols related to investment guidelines and restrictions as dictated by our clients and relevant regulations across various internal departments.
- Scrutinize marketing materials for compliance.
- Contribute to our Annual Compliance Review by assessing current practices and procedures to ensure adherence to securities regulations.
- Maintain comprehensive testing records and data for management reporting. Support Executive Management with compliance-related updates.
- Stay informed about departmental protocols.
- Participate actively in team meetings.
- Uphold confidentiality regarding firm and client information.
- Assist the Global Head of Compliance during SEC examinations.
Qualifications:
- A Bachelor’s degree in Business, Economics, or Finance, coupled with five years of relevant experience in finance-related legal, regulatory, or compliance roles.
- Exemplary communication skills, with the ability to articulate ideas with clarity and respect.
- A strong ambition to succeed and meet objectives.
- Commitment to fostering positive working relationships with colleagues.
- A keen attention to detail and accuracy.
- Ability to work efficiently under tight deadlines, ensuring prompt and precise results.
- Proficient in MS Office applications, including Word, PowerPoint, and Excel.
- Familiarity with CRM systems is advantageous.
Why Brandes?
We prioritize the health and well-being of our employees and their families through a comprehensive range of benefits tailored to meet immediate and future needs.
Brandes is dedicated to promoting a culture of inclusion and diversity. We value the unique perspectives and experiences that diverse individuals bring to our organization. Our commitment extends to ensuring equal opportunities for career advancement and fostering an environment where all employees feel empowered to express their views and address concerns without fear.
Application Process:
Interested candidates are encouraged to submit a cover letter detailing their interest in the position along with a current resume or CV.
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