Compliance Analyst

This position is responsible for contributing to the ongoing development, implementation and maintenance of the Corporate Compliance Program including, but not limited to policy/procedure administration, auditing, training, reporting, and identifying opportunities for and implementing efficiency enhancements. This position interacts with managers and employees throughout the company and handles confidential information with discretion and operates with latitude for independent judgment, self-direction, and initiative.

What Are You Walking Into?

• Hybrid Compliance Function: This role functions as part of the Corporate Compliance Department, a centralized and independent group, working firm-wide and partnering with underlying compliance program owners across the entire organization.
• Lead New Implementation: The position offers the opportunity to lead our new employee disclosure and certification software implementation, ensuring continuous improvement and compliance.

Candidates who will thrive in this position will be:

• A go-getter/proactive individual.
• Able to think holistically and possess a strategic mindset.
• A proven professional able to work autonomously and anticipate business needs.
• Equipped with a critical thinking mindset.
• Comfortable in a dynamic, changing environment.

Job Duties:

Compliance Systems Administrator:

• Function as lead system administrator for an employee disclosure and certification application. Ensure system settings, prepare for and launch periodic processes, troubleshoot user difficulties working with technology team for a smooth user experience, monitor system, review data and handle reporting. Identify potential system enhancements and manage change management cycle to develop and implement enhancements. Maintain system documentation.
• Maintain content and record integrity of the Ethics and Compliance SharePoint site. Identify and implement site enhancements.
• Liaison with Corporate Training on Learning Management System issues to ensure smooth user experience and accurate recording of training.
• Identify, develop, and implement systems and processes to enhance efficiency and streamline compliance activities, including, but not limited to reporting tools, workflows, dashboards.

Onboarding:

• Process new hires/terms/transfers identifying and completing appropriate actions based on circumstances.
• Coordinate new hire on-boarding, e.g., liaison with HR, field questions, monitor completion of forms and training.

Policy and Procedures:

• Monitor systems and materials to ensure corporate policy and procedure information is up to date for various communications, training and reporting cycles.
• Develop and maintain departmental desktop procedures and associated key documents required as part of Corporate Compliance Program.

Auditing:

• Conduct audits and compliance assurance reviews of compliance policies and procedures, and other Corporate Compliance Program requirements.
• Draft audit reports identifying findings and management action plans while ensuring appropriate stakeholder engagement.
• Identify, develop, and implement systems and processes to enhance efficiency and improve stakeholder experience.

Reporting:

• Participate in Quarterly Reporting process by preparing for each quarterly kick-off and launching workflows.
• Create, in partnership with stakeholders across the company, annual compliance audit and training inventories for tracking and reporting on throughout the year.
• Coordinate various communications and/or requests for information/reporting and as needed, monitor for completion of deliverables.
• Identify, develop, and implement systems, processes, and reports to enhance efficiency and quality of reporting.

Training:

• Design and deliver training on compliance requirements, ethical standards, and best practices.
• Ensure that on-going standard trainings are updated when policies and procedures are changed.

Communications:

• Serve as resource for compliance inquiries and facilitate effective communication on compliance matters throughout the organization.

Other:

• Research topics, as needed.
• Assist Director, Corporate Compliance with initiatives, as needed.

Required Qualifications:

Education: Bachelor's degree required

Experience: Minimum of 3-5 years of experience in compliance

Specialized Skills:

• Superior skills in Word, Excel, and PowerPoint, and overall, a technologically savvy skillset is required.
• Experience with SharePoint is required.
• Experience with data visualization tools (e.g., Power BI) is a plus.
• Experience with compliance software systems is a plus, in particular those managing disclosures and certifications.
• Strong knowledge of conflict-of-interest policy best practices and related issues.
• Strong attention to detail, proven analytical and problem-solving skills, and demonstrated ability to see the big picture while executing tasks.
• Must possess sound judgment and a high degree of professional ethics and integrity.
• Effective communication and presentation skills, with the ability to articulate policies and procedures to a variety of audiences.
• Ability to work in a fast-paced, agile environment and prioritize and manage multiple tasks and deadlines.
• Ability to demonstrate personal credibility and trustworthiness.
• Excellent interpersonal and customer service skills
• Strong time management, organizational, project management, and follow-up skills.
• A self-directed team player with a proactive nature and a "can-do" attitude.

Licenses, Registrations, and/or Certifications: Certified Compliance and Ethics Professional (CCEP) required.