Compliance Analyst
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Job Summary
Working in a hybrid environment, the Compliance Analyst will administer a compliance program alongside a Chief Compliance Officer, participate in compliance reviews, assist with policy evaluations, draft reports, and provide regulatory consulting to investment advisory firms.
Key responsibilities
- Administer client relationships and projects, ensuring a superior client experience while liaising with internal departments
- 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 associated regulatory positions
- Bachelor's degree preferred, with a major in compliance, law, business, accounting, finance, or economics
Complete Job Description
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