Job Details:
SEC Compliance Analyst
We are seeking a hardworking individual to play a key role in our compliance program. The goal of this role is to improve and support a compliance program tailored to the firm’s portfolio management activities and trading practices.
You will take on the following responsibilities:
• Provide real-time guidance and support to the businesses on matters that impact the investment process and the firms’ fiduciary duties and regulatory obligations;
• Research current and proposed rules and regulations on a global basis;
• Draft and implement policies and procedures governing the firms’ investment decision-making processes and trade execution activities;
• Prepare regulatory documentation, reports and filings in preparation for, and response to, inquiries and audits from regulatory authorities;
• Establish controls to support new business initiatives, investment products and markets;
• Assist with the design and roll-out of compliance strategic initiatives and projects to increase efficiencies in the administration of the compliance program;
• Identify, develop and provide compliance trainings
You should possess the following qualifications:
• Experience as a compliance professional or analyst at a broker-dealer, a mid- or large-sized investment advisory firm or hedge fund;
• Understanding of regulatory/self-regulatory agencies (e.g., SEC, FINRA, FATCA, NYSE, FSA, CFTC)
• The ability to work in a fast-paced environment where priorities must be reassessed continually;
• Desire and drive to build deep and trusting relationships with business coverage areas and counterparts in other support roles or control functions;
• Outstanding organizational and interpersonal skills such that you can drive your work and initiatives forward independently while also keeping their manager informed;
• Capable of collaborating with individuals of varying levels of seniority across the organization; and
Please forward your resume to kevin@libertyjobs.com
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