Compliance Specialist, Asset Management

4 weeks ago

Colorado Springs, Colorado, United States CI Segall Bryant & Hamill Full time

At CI Segall Bryant & Hamill, we are seeking a highly skilled Compliance Analyst to join our Asset Management team. As a Compliance Analyst, you will play a critical role in ensuring that our firm adheres to all relevant securities laws and regulations.

Key Responsibilities:

  • Maintain and update compliance monitoring tools to ensure adherence to client guidelines and the enforcement of our Code of Ethics and Compliance Manual.
  • Analyze client investment guidelines to implement and monitor investment restrictions.
  • Compile data requirements for financial and regulatory reporting to various agencies.
  • Collaborate with the Compliance team to review regulations and make 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 field, with additional certifications a plus.
  • 2 years of experience in compliance with a Registered Investment Adviser, preferably with asset management industry knowledge.
  • Commitment to high ethical standards.
  • Strong writing and verbal communication skills.
  • Ability to work on multiple projects while meeting competing deadlines.
  • Effective analytical abilities, including solid research skills and the ability to recommend solutions from that analysis.
  • Proficient in MS Office (Outlook, Word, Excel, PowerPoint, Teams).
  • Knowledge of compliance software, such as Advent Rules Manager, APX, Moxy, and/or other investment compliance and/or trading systems.

What We Offer:

  • A culture defined by a core set of values: Integrity, Trust, Humility, Curiosity, and Inclusion.
  • A diverse and inclusive work environment where individuals from varied backgrounds are valued and supported.
  • Autonomy and accountability.
  • Benefits and work/life balance to meet each employee's needs.
  • Programs to take an active role in the communities where we live and work.
  • A performance management program and a dedicated Compensation Committee to ensure competitive compensation packages.

U.S. Eligibility Requirements:

  • Must be 18 years of age or older.
  • Must be willing to submit to a background investigation.
  • Must have unrestricted work authorization to work in the United States.
  • Must be willing to execute Corient's Employee Agreement or Confidentiality and Non-Disclosure Agreement.

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