Compliance Analyst
Job Summary
Administering a compliance program in a hybrid work environment, the full-time Compliance Analyst will provide regulatory consulting services, assist with compliance program reviews, and coordinate compliance services across internal departments while ensuring a superior client experience.
Key responsibilities
- Administer assigned client relationships and projects, ensuring timely responses to client inquiries
- Provide regulatory consulting services, including drafting regulatory filings and conducting compliance training sessions
- Assist in compliance program reviews by preparing document requests, reviewing documents, and drafting reports
Required qualifications
- 2 years of industry experience
- Knowledge of relevant federal securities laws and regulations, such as the Investment Advisers Act of 1940
- Bachelor's degree preferred, with a focus in compliance, law, business, accounting, finance, or economics
Complete Job Description
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