COMPLY is seeking a Managed Services Compliance Analyst to join our growing team! Reporting into our Compliance Manager, this person will be responsible for providing assistance on a variety of compliance and regulatory matters for financial services firm customers. Our ideal candidate is motivated, detail-oriented, and passionate about delivering high-quality services to our clients by offering innovative solutions to regulatory requirements.
Responsibilities:
- Review customer marketing materials for consistency with applicable SEC or state regulatory requirements.
- Perform trade statement analysis to identify violations of customer trading restrictions.
- Help administer customer code of ethics requirements via ComplySci platform, including:
- Employee onboarding and offboarding assistance.
- Certification and Attestation management by assisting with creation and editing of certifications.
- Employee Personal Trading system maintenance and by adding requested new accounts, reviewing preclearance request exception reports, and quarterly reporting.
- Gifts and Entertainment maintenance and administration by reviewing submissions and reporting findings.
- Outside Business Activities maintenance and administration by reviewing submissions and reporting findings.
- Private Placements administration reviews by reviewing submissions and reporting findings.
- List maintenance (restricted, auto-approve, etc.) by adding and removing securities from lists based on customer’s specific update items.
- Standard report creation and maintenance by preparing standard out-of-the-box reports from ComplySci.
- Review customer political contributions submissions via illumis platform and report any findings.
- Review customer emails using a combination of keyword flags and random sampling to identify potential issues.
- Assist with various regulatory filing processes, such as Form 13F.
- Assist Managed Services team with various other tasks.
Qualifications:
- Skilled in problem solving and analytical thinking.
- Ability to multitask in performing complex responsibilities across multiple projects.
- Excellent interpersonal skills, with the ability to manage relationships with stakeholders at all levels.
- Proficient in Microsoft Office Suite (e.g., Excel, Word, Outlook).
- Understanding of the ComplySci platform is a plus.
- Experience with Salesforce (or other CRM systems), SaaS technology, Python, SEQUEL software support is a plus.
- Ability to work effectively and flexibly within a client service-oriented, collaborative environment.
- Exceptional organizational and time management skills.
$60,000 – $65,000 a year
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