Compliance Analyst

Primary Responsibilities:

Review and analyze reports generated by the firm’s surveillance systems.

Communicate and address surveillance issues, as necessary

Provide guidance to the business units when issues arise on policies related to the Compliance Manual, Code of Ethics, Restricted List, Money Laundering Prevention, Outside Activities, Gifts/Entertainment

Conduct email surveillance, experience with Global Relay Archive & Compliance system a plus

Prepare and submit regulatory filings (i.e., Form13G and 13D filings)

Assist with regulatory examinations, inquiries, investigations and projects, as necessary

Deliver new hire and annual compliance training and assist with content updates

Participate in compliance testing as part of the firm’s overall Investment Advisers Act Rule 206(4)-7 and FINRA 3130 program

Update, maintain, and draft firm policies and procedures

Review and approve employee requests (e.g. gifts/entertainment, political contributions, outside business activities and private investments) in the internal compliance system

Partner with Technology to enhance internal review and surveillance systems

Draft compliance communications for the firm

Requirements:

1 – 5 years of investment advisory or broker-dealer compliance experience

Bachelor’s degree required

Experience with equity and fixed-income securities products preferred; familiarity of futures, commodities, currencies, and derivatives is a plus

Collaborative team player with a strong work ethic and high integrity

Excellent interpersonal and communication skills; able to interact effectively with all levels of management

Strong analytical skills and attention to detail; ability to manage multiple priorities