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Compliance Analyst

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Summary:

This individual will be responsible for reviewing marketing materials and RFIs/RFPs for compliance with regulatory requirements and internal guidelines.  Responsibilities also include coordinating and preparing responses to due diligence and 15(c) questionnaires.  This individual will be expected to develop a strong understanding of the regulatory and business requirements embedded in the compliance function of an investment advisory firm.

Duties and Responsibilities:

  • Review and approve advertising and other communications with the public (e.g., presentation books, website content, fund factsheets, commentaries, etc.) for compliance with regulatory requirements and internal guidelines.
  • Work closely with the Marketing Department to review all RFI and RFP questionnaires.
  • Coordinate and draft responses to annual due diligence and compliance questionnaires for institutional accounts and mutual funds.
  • Work with the Legal, Compliance and Marketing groups to draft and update the Firm’s marketing content database.
  • Review and monitor electronic communications to ensure compliance with applicable rules and firm policies. Identify and elevate issues as appropriate.
  • Develop a strong understanding of the firm’s Compliance Program policies and procedures and stay current with regulatory requirements to which the firm is subject (e.g., SEC, FINRA, ERISA, etc.).
  • Assist with preparation and filing of regulatory filings (e.g., ADV, BD, Form PF, etc.).
  • Actively participate in discussions with business groups to better gain an understanding of relevant processes in order to improve content database and regulatory reporting processes.
  • Able to write procedures to document changes to processes and systems.
  • Participate in special projects and opportunities for cross-training to gain further exposure to other functions within the Compliance department. 

Qualifications:

Required:

  • Bachelor’s degree.
  • FINRA Series 7, 24 licenses required, or must be obtained within 90 days from start of employment.
  • Minimum of three years compliance or legal related experience in the investment advisory and mutual fund business.
  • Prior advertising review experience strongly preferred.
  • High level of integrity and the ability to maintain confidentiality of records and information.
  • Strong organizational skills; excellent verbal, writing and reading comprehension skills – especially with legal documents. 
  • Proficient in Microsoft Word, Excel and Outlook.
  • Excellent attention to detail, a high degree of initiative and adaptability, and the ability to deliver timely work products.
  • Capability to work independently as well as in a team environment.
  • Ability to work with and adapt to numerous and conflicting deadlines.

Preferred:

  • Prior regulatory experience (e.g., SEC, FINRA).
  • Experience as a compliance officer or paralegal with an investment adviser, broker-dealer or mutual fund.
  • Experience with PMAPS and JIRA is a plus.

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