Job Description
RESPONSIBILITIES: Primarily, an Analyst is responsible for providing day-to-day support in the development, implementation, and maintenance of compliance programs for a variety of financial services firms, which includes but is not limited to:
- Develop and implement compliance policies and procedures in accordance with the client’s regulatory requirements;
- Assist in conducting quarterly testing and annual compliance reviews of our clients’ compliance program;
- Prepare compliance trainings for clients;
- Proactively communicate with client on administrative matters (e.g. call timing, onsite visits, document requests, agenda items, etc.) and provide timely responses to client inquiries or comments;
- In advance of compliance calls and meetings, ensure all relevant materials are distributed to the team (e.g. agenda, testing items, discussion items, etc.);
- Review employee personal trading and electronic communications for inconsistencies with client policy and adherence to securities laws;
- Assist in registering firms with the appropriate regulatory bodies;
- Assist in conducting mock regulatory exams;
- Prepare annual and quarterly regulatory filings (including, without limitation, the Forms ADV, PF, 13F, 13H. and PQR).
In addition, analysts are expected to:
- Complete firm administrative tasks in a timely and accurate matter. This include expense reporting, time reporting, and performance reviews;
- Be an active member of internal initiatives; and
- Promote a culture of collaboration, inclusion, and diversity.