Compliance Analyst Job Description
Compliance analyst
provides advice on global AML and KYC laws and regulations to Org ID teams.
Compliance Analyst Duties & Responsibilities
To write an effective compliance analyst job description, begin by listing detailed duties, responsibilities and expectations. We have included compliance analyst job description templates that you can modify and use.
Sample responsibilities for this position include:
Ensuring adherence to compliance policies in addition to working on long-term projects to maintain the firm's high standards of compliance with new and existing regulations
Perform reviews of compliance procedures and assist in assembling compliance reports for review by the Chief Compliance Officer, drafting memos, conducting audits
Assists in ensuring clients’ plans are in compliance with current Federal laws and regulations
Update the Compliance Manual and Code of Ethics and conduct compliance testing related to ensuring compliance with the Firms’ policies and procedures
Prepare and update compliance checklists and compliance reports to institutional clients
Reviewing investor subscriptions and tracking key data points for compliance with the Foreign Account Tax Compliance Act (“FATCA”)
Review marketing materials for compliance with rules and regulations
Collaborate with Compliance colleagues to perform Annual Assessment of Compliance Programs and related follow up tasks and deliverables
Be responsible for completing tests in compliance with the 38a-1 and 206(4)-7 Compliance Testing Program
Review marketing materials, including pitch books, due diligence questionnaires, RFPs , strategy fact sheets, market commentary, , for accuracy and compliance with applicable rules and regulations
Compliance Analyst Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Compliance Analyst
List any licenses or certifications required by the position: CAMS, CFE, CISSP, CRCM, CDCS, CIA, ITIL, SPHR, CPP, PMP
Education for Compliance Analyst
Typically a job would require a certain level of education.
Employers hiring for the compliance analyst 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 Compliance Analyst
Desired skills for compliance analyst include:
Laws applicable to money laundering
OFAC requirements
US Treasury AML guidelines
Suspicious Activity Reporting requirements
Global AML/CFT/Fraud laws and regulations
USA Patriot act
Excel
Regulations
Laws
Compliance
Desired experience for compliance analyst includes:
Provide support for the build-out of the surveillance program
Conduct email surveillance
Pre-trade review, research and close pre-trade alerts
Perform detailed compliance analysis of all rules in Charles River
Research impact of new legislation from a compliance perspective
Ability to develop solid partnerships with the business units
Compliance Analyst Examples
1
Compliance Analyst Job Description
Job Description Example
Our innovative and growing company is searching for experienced candidates for the position of compliance analyst. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for compliance analyst
- Working with other member of the compliance team to ensure that compliance documents
- Working with firm's compliance regarding firm wide compliance issues and projects
- Participate in periodic and annual Compliance Training program and annual compliance attestations
- Assist with general compliance projects that arise from the RMG compliance oversight activities
- Complete general compliance reporting and ad hoc compliance tasks
- Maintain the Firm’s restricted list and watch list to ensure compliance with insider trading laws
- Assess potential areas of compliance vulnerability through regular compliance risk assessments
- Coordinate with key stakeholders in departments that have responsibility for compliance programs relating to their respective areas of expertise to ensure departments are fulfilling compliance responsibilities (including Legal, Finance, Human Resources, Labor Relations, Environmental, Health and Safety, Information Technologies, and Procurement)
- Testing compliance processes, including review of employee political contributions and performance information in marketing presentations
- Collaborating with compliance staff to support the firm's business units
Qualifications for compliance analyst
- Knowledge or experience with SEC Form PF, CFTC Form PQR, FINRA Form U4, and U5 is a plus
- Responding to “know your client” (“KYC”) requests in connection with fund investments
- Assisting in maintaining database of legal documents
- Assisting in coordination and tracking of fund amendments
- Providing other assistance as needed to consulting staff and executive management
- Designing and reviewing automated compliance monitoring reports
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Compliance Analyst Job Description
Job Description Example
Our company is searching for experienced candidates for the position of compliance analyst. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for compliance analyst
- Assist in overseeing the compliance program for hedge fund advisor
- Assist in maintaining of compliance calendar
- Testing adequacy and effectiveness of the firm’s Compliance Policies and Procedures
- Recommending enhancements to the firm's current Compliance Testing Program
- Assisting in the testing and implementation of compliance technology systems, including trade surveillance, investment guideline monitoring, and position monitoring
- Assisting in updating the firm's Compliance Policies and Procedures Manual (as needed)
- Participate in Annual Compliance Reviews
- Assist with updates to compliance policies and procedures where required
- Maintain compliance books and records and registers to a high standard
- Provide compliance support to operational risk audits and risk reviews as required
Qualifications for compliance analyst
- Examination experience with a state or federal regulatory agency
- Series 24 required, Series 7, 63 and 65 (or 66) preferred
- Series 7, 24 (required) , 63 and 65 (or 66) preferred
- Review and maintenance of firm’s Restricted List
- Assist with firm’s regulatory reporting obligations (ADV, 13Fs, 13Gs, Form PF)
- Assist in organizing files and maintaining books and records
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Compliance Analyst Job Description
Job Description Example
Our growing company is hiring for a compliance analyst. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for compliance analyst
- Oversee the completion of the online annual compliance meeting and annual CE courses
- Assist other members of the Compliance Department and work on adhoc projects where necessary
- Oversee day-to-day management of IA Compliance Program
- Help limit REIT's regulatory and reputation risk and reinforce the firm's culture of compliance
- Interact with the BD Compliance team
- Liaise with General Counsel and Chief Compliance Officer to administer and implement policies and procedures
- Review employee e-mails, employee personal trading and brokerage accounts (and administration of automated compliance system)
- Train new and current employees on industry rules and the Firm’s compliance with particular areas that relate to their roles
- Administer compliance aspects of onboarding Vendors who provide research, consulting, brokerage and other services
- Manage compliance related inquiries and issues, ensuring managers, resources, suppliers and Program Office obtain an answer to address training courses adequately
Qualifications for compliance analyst
- Email copies of approved OBA requests to Registrations group
- Save hard copies to employee files
- Provides fast, responsive, expert technical plan document support and may consult with clients, Pension Offices, Partners and operation areas in matters affecting prototypes, volume submitter and individually designed plans, services, and plan design
- Provides fast and responsive technical assistance to the Installation Services and Administrative units in non-routine installation situations
- Assists Client Relationship Managers in determining technical acceptability and identifying business risks associated with plan changes
- Undertakes plan research relating to specific client situations
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Compliance Analyst Job Description
Job Description Example
Our company is growing rapidly and is searching for experienced candidates for the position of compliance analyst. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for compliance analyst
- TLL compliance reporting oversight / ownership
- Quarterly review of compliance training courses status for the CWM Program Office members, including reporting and filing
- Responsible for compliance training tracking/reporting for ERM resources
- Responsible for compliance training escalations
- Monitoring and assessing the impact of all relevant regulatory developments, especially in relation to AML, financial crime and sanction regulation, and making business areas aware of the measures that need to be taken in order to ensure compliance
- Providing training to staff on anti-money laundering and financial sanctions requirements and other compliance subjects as considered necessary market abuse, conflicts of interest
- Gain a thorough understanding of the Company’s businesses, culture and values and use that knowledge to help maintain an effective compliance program
- Champion the Company’s values as the foundation for the compliance program
- Monitor regulatory changes and trends in key risk areas to ensure compliance with legal requirements
- Align compliance policies and procedures to address the most significant risks to the Company
Qualifications for compliance analyst
- Ideally will have previous experience within Financial Crime
- Outstanding reputation of professional integrity and potential to be personally credible
- Strong interpersonal, business writing and organizational skills with ability to priorities duties
- Ability to clearly articulate opinions and to influence
- Interface directly with Investment Professionals in a fast paced environment
- Conduct routine, targeted, and ad hoc testing / surveillance
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Compliance Analyst Job Description
Job Description Example
Our company is hiring for a compliance analyst. 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 compliance analyst
- Participate in other special compliance reviews and projects as required
- Monitor client portfolios and perform the daily compliance of the asset management business in accordance with the relevant internal policies and procedures
- Compliance and regulatory advisory for Financial Crime
- Correspond and assist employees with compliance certifications and inquiries
- Providing on-going support in understanding European regulations
- Reviewing and assessing impact of new FCA/PRA regulations for Global Functions as necessary
- Assisting with the implementation and oversight of the firm’s compliance program
- Reviewing and implementing customized compliance protocols
- Face-off with senior managers in IT, Business Units, Compliance, and Risk
- Implement broker dealer compliance program to ensure adherence
Qualifications for compliance analyst
- Daily oversight of the CWM Program Generic mailbox, including issues and escalations as required
- Support the on/off-boarding of contract workers
- Respond to, and investigate, inquiries relating to contract worker access issues
- Day to day activities as required
- Remove redundancies or introduce existing reporting processes to new audiences
- Review marketing materials, performance reports, and DDQs