Analyst, Compliance Job Description
Analyst, compliance
provides advice on issues relating to all applicable SEC/FINRA and other SRO Research Rules and the Global Research Settlement.
Analyst, Compliance Duties & Responsibilities
To write an effective analyst, compliance job description, begin by listing detailed duties, responsibilities and expectations. We have included analyst, compliance job description templates that you can modify and use.
Sample responsibilities for this position include:
Research and respond to SEC and FINRA regulatory inquiries
Update written supervisory procedures to address Firm policies and procedures SEC and FINRA rules and regulatioNS
Manage and organize extensive amounts of data using Microsoft Excel
Serve as the primary point of contact for clients, always ensuring an outstanding client experience
Prepare domestic and foreign filings (SEC filings such as Form ADV, 13F, Form PF)
Assist in all compliance and regulatory matters, including, but not limited to, SEC and CFTC registrations, ERISA monitoring, expert network tracking, preparing and reviewing hedge fund investment forms
Work with HR on the firm’s regulatory pre-hire/on-boarding process and work with the compliance department of the broker dealers on any registration requirements
Assist with the Form U4, U5, and amendments to these registration filings examination and fingerprinting requirements for BD associated persons
Identifies and overcomes client objections, clarifies expectations, confirms client understanding of scope of deliverables and delineation of client responsibility vs
Gains commitment from client and ADP teams to respond to compliance related initiatives the client has established
Analyst, Compliance Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Analyst, Compliance
List any licenses or certifications required by the position: CAMS, CFE, CISSP, CRCM, CDCS, CIA, ITIL, SPHR, CPP, PMP
Education for Analyst, Compliance
Typically a job would require a certain level of education.
Employers hiring for the analyst, compliance job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Master's Degree in Education, Business, Finance, Accounting, Business/Administration, Management, Graduate, Law, Computer Science, Economics
Skills for Analyst, Compliance
Desired skills for analyst, compliance include:
SEC
Excel
Commodity Exchange Act and the rules of the National Futures Association
FINRA and other SRO rules
Understanding and awareness of legal and regulatory landscape are all
Experience
Usually acquired through formal education
Word
Applicable laws and regulations
FINRA
Desired experience for analyst, compliance includes:
Fluency in English on top of local language
Works with minimal supervision and exercises independent judgment consistent with departmental guidelines and organizational objectives
Will actively contribute to Business Unit Commitment pack initiatives and have supporting role in their implementation
Actively interacts with business units and collaborates on compliance policy development and testing needs
Exposure to compliance for commodity pool operators and broker-dealers
Provides appropriate feedback to team members and management regarding overall team performance individual performance in achieving client retention and quality goals
Analyst, Compliance Examples
1
Analyst, Compliance Job Description
Job Description Example
Our company is hiring for an analyst, compliance. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for analyst, compliance
- Understand the issues faced by entrepreneurial clients and consult with them on investment adviser regulatory compliance matters, including record keeping, marketing materials, communications and reporting as required by federal and state regulators
- Prepare and maintain regulatory filings and policies and procedures for investment advisers
- Coordinate delivery of advanced consulting items with regulatory counsel
- Adhere to, and continually enhance, business processes and project plans
- Expand, develop and innovate the role to meet the dynamic needs of the company
- Assist with the oversight of policies and procedures and prepare materials for the policy working group
- Serve as administrator for document management system
- Serve as administrator for Compliance intranet site
- Assist with the development of compliance training and track training attendance in learning management system
- Support enterprise and global initiatives other topics and special projects when needed in the Compliance Department
Qualifications for analyst, compliance
- Produce materials for quarterly reports/meetings of the Global Corporate Compliance & Ethics Team, Senior Leadership Team, the Audit Committee, Information Management Committee, on the effectiveness of the compliance program
- Ability to communicate and influence assertively, clearly and concisely, both in writing and verbally
- Highly professional in interactions, demeanor and presentation
- Prepare board materials
- Review compliance policies and procedures, quarterly certifications and due diligence questionnaire responses to determine adequacy
- Support Mutual Fund Trading and Operations through pre and post trade guideline surveillance
2
Analyst, Compliance Job Description
Job Description Example
Our innovative and growing company is searching for experienced candidates for the position of analyst, compliance. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for analyst, compliance
- Organize and prepare materials for reporting to CCO and monthly compliance meeting
- Performing email reviews of trading groups for internal investigations
- Preparing weekly and monthly memos based on email surveillance review
- Assisting in the development of policies and procedures that reflect changes in business, regulation and developing views on issues
- Keeping up to date with relevant regulatory changes
- Broker/Dealer Staff Registrations and Terminations, ad hoc changes
- Perform pre-hire checks
- Liaise with the business legal and compliance team members to obtain input required for Registrations/Terminations
- Oversee Compliance Training/Continuous Education activities to ensure timely scheduling of exams
- Process and record-keep for Form BD and ADV Firm Registrations/amendments and Branch Office applications and amendments
Qualifications for analyst, compliance
- Knowledge and understanding of the U.S. Investment Advisers Act of 1940
- Bachelor's Degree in a related field (Finance, Economics)
- 2-3 years regulatory compliance experience within Financial Services industry – specifically Broker/Dealer
- Assist in other compliance tasks as required
- Process all OBA and PI requests reviewed by Compliance
- Record all OBAs and PIs in CREM and OBA-PI Tracker
3
Analyst, Compliance Job Description
Job Description Example
Our growing company is looking to fill the role of analyst, compliance. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for analyst, compliance
- Monitor equity trading supervisors to ensure that they are completing their assigned supervisory responsibilities
- Assist Firm’s Institutional Audit Group with drafting audit plans, conducting on-site examinations and writing audit reports of equity trading
- Track away accounts and outside business activity
- Review electronic communications
- Monitor trade reporting
- Conduct periodic reviews of employee groupings
- Deal with IT issues regarding CREM
- Undertake client re-reviews in accordance with regulatory requirements to ensure up to date documentation is maintained for existing counterparties
- Assist in the approval of new counterparties and ensure proper documentary evidence of CDD is obtained at outset of the relationship
- Assist in reviewing country risk ratings periodically
Qualifications for analyst, compliance
- Proven ability to build rapport and convey complex plan design issues in an easily understandable manner
- Assist in investigating and resolving the alerts generated in the AML monitoring system
- Ensure existing controls, policies and procedures in relation to anti-money laundering are kept up-to-date
- Keep abreast of developments on money laundering and its prevention
- Understanding of AML
- Series 7 & 24 preferred or willing to complete
4
Analyst, Compliance Job Description
Job Description Example
Our growing company is looking for an analyst, compliance. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for analyst, compliance
- Consult with Independent Investment Adviser Representatives
- Manage non-discretionary services program
- Oversee aspects of and sub-advisory relationship
- Support the due diligence team in its efforts to clear the Advisor’s clients on the broker-dealer platforms
- Communicate upcoming policy changes as needed
- Review all marketing documents
- Weekly requests to TalentLink Learning from the CWM Program Office
- Weekly escalations for non-compliant resources
- Responsible for accurate tracking of all third party resources (non-CWM) in the CWM system (Beeline), based on information from GDS and managers
- Responsible for ERM related reporting, including working with the HR Reporting team as required, and reporting requirements documentation
Qualifications for analyst, compliance
- Ability to adapt quickly and appropriately with the constant evolution of our compliance program
- 2+ years of relevant compliance experience at a private investment fund or registered investment advisor
- 1-2 years of compliance & secruities experience
- Appropriately categorize worker data based on resource type
- Responsible for ensuring resources in the ERM Program have a valid profile in TalentLink Learning, identified by their LAN ID
- Work with the learning team to create, update and terminate learning profiles in the TalentLink Learning system as required
5
Analyst, Compliance Job Description
Job Description Example
Our company is hiring for an analyst, compliance. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for analyst, compliance
- Perform email monitoring
- Develop AML and financial sanctions monitoring and prepare MI statistics to evaluate threat and identify appropriate countermeasures
- Administer routine AML requests from counterparts, including maintenance and issue of a standard KYC pack and questionnaire
- Manage client take-on process, coordinating due diligence committee and provision of guidance to front office staff
- Build trust and develop effective relationships with key stakeholders in all business units
- Conduct monitoring testing by substantiating data against supporting documentation
- Execute monitoring procedures using testing programs and exercise judgment in alerting preliminary observations to the manager
- Summarize and document monitoring results based upon the monitoring programs per each area provided
- Assist with the overall administrative tasks for the monitoring program
- Undertaking electronic surveillance on a daily basis
Qualifications for analyst, compliance
- 3+ years in Customs Brokerage, Import/Export or entry writing experience preferred
- Experience with PC based systems (Microsoft Office) and understanding of business math required
- Must be of high ethical and moral character and consistently reliable in attendance
- Candidate must be a self starter with strong organizational skills and the ability to collaborate cross functionally
- Must evidence strong attention to detail and ability to multi-task
- Ideally will have previous experience within Compliance and Financial Crime