Managed Services Compliance Analyst

Job Summary

A company is looking for a Managed Services Compliance Analyst to join their team.

Key Responsibilities

• Review client emails and marketing materials for compliance with regulatory requirements
• Perform trade statement analysis and assist with various regulatory filing processes
• Administer client code of ethics requirements and maintain related systems and reports

Required Qualifications

• Proficient in Microsoft Office Suite (e.g., Excel, Word, Outlook)
• Experience with Salesforce or other CRM systems is a plus
• Understanding of SEC and/or state marketing rule requirements for Registered Investment Advisers (RIAs) is a plus
• Ability to multitask and manage complex responsibilities across multiple projects
• Familiarity with the ComplySci platform and SaaS technology is a plus