Position Overview:
A well-established financial services firm is currently looking for a Senior Compliance Analyst to join their dynamic Compliance team. The ideal candidate will play a critical role in ensuring adherence to our firm's Code of Ethics and compliance policies while also assisting with various compliance-related functions. This is a fantastic opportunity for someone with a strong understanding of compliance practices in a corporate environment, particularly within the financial services space.
Key Responsibilities:
- Assist and advise on regulatory matters including personal trading, political activity, and gifts & entertainment.
- Manage and administer the firm's automated compliance systems
- Oversee new employee onboarding and provide compliance trainings
- Conduct testing
- Assist with the development, revision, and implementation of policies and procedures
- E-comm reviews
- Ensure the firm's regulatory filings, such as Form ADV and Form PF, are completed accurately and in a timely manner.
Qualifications:
- Bachelor's degree required
- 3+ years of experience in compliance, legal, or regulatory functions
- Strong knowledge of compliance-related systems and tools.
- Proficiency in Microsoft Office Suite (Excel, Word, PowerPoint).
- Excellent communication skills, both written and verbal.
- Detail-oriented with strong organizational and analytical skills.
- Ability to manage multiple projects and deadlines in a fast-paced environment.
- Strong problem-solving skills and ability to work both independently and as part of a team.
