Compliance Analyst
A local independent investment firm with more than $11B in AUM is looking for a Compliance Analyst to join their team.
This is a new position that will report directly to the Chief Compliance Officer and will have the opportunity to interface directly with senior leadership of the firm. This is a hands-on position that will be involved in aspects of compliance. We are looking for someone that will take strong initiative, has great project management skills, is an effective communicator (especially written) and is very organized.
We are generally looking for candidates with 1-5 years of experience. Knowledge of investment/financial services a strong plus.
*this position is on-site 3 days a week (potentially more in the beginning), in a gorgeous office space in Downtown St. Paul
If you’re interested in hearing more, please reach out to jamende@skywatersearch.com
Responsibilities
- Assists in the daily operations of the Compliance Department including the maintenance of policies and procedures, the monitoring and testing of policies and procedures, monitoring and updating the Risk Assessment, and maintenance of the Compliance Manual.
- Assists with monitoring of the Multiple Series Trust (MST) Trust For Professional Managers’ (TPM) compliance program as it relates to the Public Funds.
- Assists in providing guidance and training to staff on compliance topics.
- Assists in creating reports as directed or requested, to keep the Compliance Committee, the Board of Directors, the Chief Compliance Officer and senior management informed of the operation and progress of compliance efforts.
- Assists in reviewing advertising materials, applications, and prospectuses for the Public Funds and Adviser in conjunction with the Marketing & Communications Manager.
- Conduct research and assist in preparing documentation in response to client and/or regulatory inquiries.
- Assists with the preparation and submission of regulatory filings.
- Provides general administrative support to the Compliance Department including, but not limited to, records management, systems input, and maintenance of the compliance reporting software.
- Serves as the primary point of contact for employee and staff related questions and issues regarding the compliance reporting software.
Desired Skills and Experience
- Bachelor’s degree required
- 1-3 years of prior work experience in investment adviser or investment company regulatory compliance or other relevant regulatory experience preferred
- Strong interpersonal communication skills, including written and verbal
- Possess outstanding organizational skills and the ability to balance multiple priorities
- Demonstrate problem solving ability, adaptability, flexibility, and detail orientation
- Proven ability to apply analytical and critical thinking skills
- Results driven, with the ability to take initiative and work with little supervision in an unstructured environment
- Demonstrated ability to collaborate effectively with others
- Ability to maintain confidentiality of client, employee, and company information
- Proficient in Microsoft Office suite and demonstrated ability to learn and utilize various technology platforms
- Ability to maintain composure and make appropriate decisions under stressful conditions
- Audit experience preferred
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