Managed Services Compliance Analyst

Job Description: • Review client emails using a combination of keyword flags and random sampling to identify potential issues. • Assist with various regulatory filing processes, such as Form 13F. • Review client marketing materials for consistency with applicable SEC or state regulatory requirements. • Perform trade statement analysis to identify violations of client trading restrictions. • Help administer client code of ethics requirements via Comply platform, including: • Employee onboarding and offboarding assistance. • Certification and Attestation management by assisting with creation and editing of certifications. • Employee Personal Trading system maintenance by adding requested new accounts, reviewing preclearance request exception reports, and quarterly reporting. • Gifts and Entertainment maintenance and administration by reviewing submissions and reporting findings. • Outside Business Activities maintenance and administration by reviewing submissions and reporting findings. • List maintenance (restricted, auto-approve, etc.) by adding and removing securities from lists based on client’s specific update items. • Standard report creation and maintenance by preparing standard out-of-the-box reports from Comply. • Review client political contributions submissions via Comply’s Illumis platform and report any findings. • Assist Managed Services team with various other tasks. Requirements: • Skilled in problem solving and analytical thinking. • Ability to multitask in performing complex responsibilities across multiple projects. • Excellent interpersonal skills, with the ability to manage relationships with various stakeholders. • Proficient in Microsoft Office Suite (e.g., Excel, Word, Outlook). • Ability to work effectively and flexibly within a client service-oriented, collaborative environment. • Exceptional organizational and time management skills. • Understanding of the ComplySci platform is a plus. • Experience with Salesforce (or other CRM systems), SaaS technology, Python, SEQUEL software support is a plus. • Familiarity with SEC and/or state Marketing rule requirements for Registered Investment Advisers (RIAs) is a plus. Benefits: Apply tot his job