About the Opportunity
A full-service investment bank and asset management firm is currently looking to hire a Compliance/Risk Analyst with 5-10 years of compliance experience within the asset management, mutual fund, brokerage, or hedge fund industry. The analyst in this role will be an important part of the Compliance team for a Registered Investment Advisor (RIA) and broker/dealer (BD), reporting directly to the Chief Compliance Officer. You will work closely with the Finance and Operations and IT teams as well as the business units to ensure cohesive risk communications.
This is an excellent temp-to-hire opportunity with a pay range of $55 to $65 an hour. Actual compensation offered to the successful candidate may vary from posted hiring range based upon geographic location, work experience, education, and/or skill level, among other things. Details about eligibility for bonus compensation (if applicable) will be finalized at the time of offer.
Job Responsibilities
- Comply with and stay abreast of relevant security regulations, laws, and technologies and adjust programs and processes as needed
- Summarize and analyze large volumes of data in a meaningful and actionable manner
- Accurately document system changes and follow procedures to ensure system integrity
- Formulate, draft, and maintain accurate and current internal control procedures, programs and related documentation
- Prepare analyses which are submitted to internal management
- Assist and interface with examiners/auditors during regulatory exams and internal audits
- Maintain good working knowledge and awareness of firm goals, regulatory and legislative developments, and financial industry audit control and trends
- Prepare and update department compliance policies and procedures
- Analyze current process and modeling tools to identify issues requiring corrective action and oversee corrective actions relating to areas of responsibility
- Prepare reporting according to established deadlines and ad hoc requests, while managing multiple responsibilities
- Seek ways to improve internal processes and create cost efficiencies through report automation and streamlining of current reports to reduce redundancy and duplication of effort
- Recommend and establish standards, guidelines and processes that improve system and reporting efficiencies
- Assist with special projects and/or investigations as they arise
Job Requirements
- Bachelor’s Degree from an accredited college or university preferred
- Minimum 5-10 years of experience in a compliance environment for a BD and RIA
- Thorough knowledge of regulatory rules applicable to BD and RIA
- MS Excel, Word, Outlook, and PowerPoint proficiency
- Ability to accept accountability, assume pro-active leadership, demonstrate initiative, and lead by example in teamwork, cross-unit co-operation, and information-sharing environments
- Exceptional interpersonal skills and superior judgment
- Organize workload and prioritize responsiveness and efficiency both individually and for the tea
- Work independently and adapt to changing and competing priorities
- Team player with a desire to learn
