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Regulatory Compliance Specialist
2 months ago
Position Overview:
Are you eager to leverage your expertise in compliance to minimize financial risks, foster client trust, and ensure that Brandes maintains its competitive edge in the marketplace? If you thrive in an independent work environment while contributing positively to team dynamics, this role may be an excellent fit for you. This exempt position offers a competitive salary range of $75,000-$85,000 annually and includes the flexibility of hybrid work arrangements.
Key Responsibilities:
- Assess, formulate, and evaluate compliance protocols related to investment guidelines and restrictions set forth by clients, as well as relevant regulations across various internal departments.
- Examine marketing materials for compliance.
- Support the Annual Compliance Review by analyzing current practices and procedures to ensure adherence to securities regulations.
- Maintain comprehensive records and data for management reporting, assisting in compliance updates to Executive Management.
- Stay informed about departmental protocols.
- Participate actively in team meetings.
- Safeguard the confidentiality of both firm and client information.
- Assist the Global Head of Compliance during SEC examinations.
Qualifications:
- A Bachelor's degree in Business, Economics, or Finance, accompanied by five years of specialized experience in finance-related legal, regulatory, or compliance roles.
- Exceptional communication skills, with a diplomatic and respectful approach to conveying ideas.
- A strong ambition and commitment to achieving personal and organizational goals.
- Ability to cultivate effective working relationships with colleagues.
- A keen attention to detail and a commitment to accuracy.
- Proficiency in managing tight deadlines with quick and precise turnaround times.
- Solid understanding of Microsoft Office applications, including Word, PowerPoint, and Excel.
- Experience with CRM systems is advantageous.
Working at Brandes:
Brandes is dedicated to supporting the health and well-being of our employees and their families through a variety of comprehensive benefit programs tailored to meet immediate and future needs.
We are committed to fostering an inclusive and diverse workplace, recognizing the value that varied perspectives and experiences bring to our organization. Our long-standing commitment to diversity is reflected in our hiring practices and workplace culture, which emphasizes equal opportunities for career advancement and community engagement.
Application Process:
Interested candidates are encouraged to submit a cover letter outlining their interest in the position along with a current resume or CV.
