Analyst – Compliance

Analyst – Compliance

Requirements

• Knowledge of applicable laws and regulations, usually acquired through formal education or experience
• Analytical and communication skills required to analyze and summarize information
• Organizational skills required to coordinate compliance activities
• 1-3 years of related experience

Responsibilities

• Monitors and reviews procedures and practices of partners to assure compliance with applicable regulatory requirements and adherence to internal policies
• Advises business partners on Compliance programs and applicable laws, regulations, rules and standards, including keeping them informed of developments or changes that may affect their area
• Responds to internal and external inquiries and requests for information to clarify regulatory requirements
• Assists in the development of Compliance programs and may act as a contact point within the company for Compliance inquiries from partners
• Identifies and documents any Compliance risks associated with the Company’s activities
• Researches and develops analytical reports and solutions for issues being addressed by the department
• Participates in training partners and delivering communications on applicable laws and regulations
• Coordinates and/or performs activities related to designated Compliance initiatives
• Carries out Compliance-related activities through direct interaction with committees and management
• Monitors internal procedures and files relating to laws, regulations, rules and standards; and ensures they are accessible to business partners and management
• Works on projects and learning project management skills
• Reviews marketing materials for a global asset manager for compliance with applicable rules and laws, including, but not limited to, SEC 206(4)-1, SEC 482, and FINRA 2210

Preferred Qualifications

No preferred qualifications provided.