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Most recent job postings at mycomplianceoffice
via Ladders
posted_at: 20 days agoschedule_type: Full-timesalary: 65,049–97,574 a year
About MCO (MyComplianceOffice)
MCO is a rising star in the world of compliance technology. From a humble startup, MCO is now the global leader in conduct-risk compliance management, with almost 1500 clients around the world, including many of the global financial leaders...
MCO is 15 years old and continues to enjoy tremendous growth. Recent product developments, new acquisitions, and unfilled needs in the market creates exciting opportunities for
About MCO (MyComplianceOffice)
MCO is a rising star in the world of compliance technology. From a humble startup, MCO is now the global leader in conduct-risk compliance management, with almost 1500 clients around the world, including many of the global financial leaders...
MCO is 15 years old and continues to enjoy tremendous growth. Recent product developments, new acquisitions, and unfilled needs in the market creates exciting opportunities for MCO to expand in the coming years. Business has been booming - with MCO achieving the much-heralded status of "the rule of 40" reflecting our excellent sales growth and underlying financial health. Recently voted the Technology Company of the Year, MCO is recognized as a world leader. MCO is financially strong with revenues and customer base growing at over 20% per annum.
MCO has an extensive Product Delivery team spread around the world and are now looking for an enthusiastic Chief Product Delivery Officer lead this organization. This person will lead this organization to deliver exciting new capabilities into the market, while ensuring that we maximise the performance of this global team.
About the MCO SaaS Platform
Our compliance platform helps companies reduce their risk of misconduct. Our SAAS-based platform lets compliance professionals demonstrate that they are proactively managing the regulated activities of employees, third-party vendors, and other agents of the firm. Available as a unified suite or à la carte, our easy-to-use and extensible SaaS-based solutions get clients up and running quickly and cost-efficiently. We've built our passion and proficiency for compliance automation into every product, enabling clients to use technology to minimize conduct risk.
About the role
MCO's Information Security Management System (ISMS) is ISO 27001:2013 certified. This role, part of our IT & Security Department, reporting to the IT Security Manager, is made up of a team of experienced professionals. You will play a central role in the continuous improvement of information security operations and management of our ISO27001:2013 certified ISMS program.
What you will need to succeed
The most important attributes you will bring to this role are:
• Ability to work independently and as part of a team
• 2-3 years experience in IT Audit (SOC2 or ISO 27001) or Information Security
• Excellent verbal and written communication skills
• A willingness to learn and develop new skills
• Excellent time management and an ability to prioritize
• Excellent soft skills
Responsibilities
Primary Responsibilities:
• Responding to Due Diligence Requests from customers and/or prospects.
• Participation in customer or prospect discussions on security related topics
• Developing artifacts in support of ISO 27001:2013 and SOC2 audit fieldwork
Secondary Responsibilities:
• Assisting with audits (internal) and control reviews in support of the MCO ISO 27001:2013 ISMS
• Member of the IT Security team working with other Technology departments including Architecture, Operations, and Engineering
• Work with security tools including (but not limited to) SIEM, Static Code Analysis, Vulnerability Management, Penetration Testing, etc.
• Other duties and responsibilities as assigned
Experience and Skills
Experience with any or all the following will be beneficial.
Essential Skills:
• Excellent soft skills to effectively communicate with all levels in both MCO and our clients
• Excellent analytical, critical thinking, and problem-solving skills
• Excellent verbal and written communication skills
Preferred Skills:
• IT Audit Experience with either ISO 27001 or SOC2 as a participant or SME (Subject Matter Expert)
• Security Certifications (or willingness to obtain) including: Security+, CC, CISA, SSCP, CISM, CCSP
• A working knowledge of the software development lifecycle (SDLC) for SaaS applications
• Knowledge of data protection legislation (GDPR, CCPA, etc Show more details...
MCO is a rising star in the world of compliance technology. From a humble startup, MCO is now the global leader in conduct-risk compliance management, with almost 1500 clients around the world, including many of the global financial leaders...
MCO is 15 years old and continues to enjoy tremendous growth. Recent product developments, new acquisitions, and unfilled needs in the market creates exciting opportunities for MCO to expand in the coming years. Business has been booming - with MCO achieving the much-heralded status of "the rule of 40" reflecting our excellent sales growth and underlying financial health. Recently voted the Technology Company of the Year, MCO is recognized as a world leader. MCO is financially strong with revenues and customer base growing at over 20% per annum.
MCO has an extensive Product Delivery team spread around the world and are now looking for an enthusiastic Chief Product Delivery Officer lead this organization. This person will lead this organization to deliver exciting new capabilities into the market, while ensuring that we maximise the performance of this global team.
About the MCO SaaS Platform
Our compliance platform helps companies reduce their risk of misconduct. Our SAAS-based platform lets compliance professionals demonstrate that they are proactively managing the regulated activities of employees, third-party vendors, and other agents of the firm. Available as a unified suite or à la carte, our easy-to-use and extensible SaaS-based solutions get clients up and running quickly and cost-efficiently. We've built our passion and proficiency for compliance automation into every product, enabling clients to use technology to minimize conduct risk.
About the role
MCO's Information Security Management System (ISMS) is ISO 27001:2013 certified. This role, part of our IT & Security Department, reporting to the IT Security Manager, is made up of a team of experienced professionals. You will play a central role in the continuous improvement of information security operations and management of our ISO27001:2013 certified ISMS program.
What you will need to succeed
The most important attributes you will bring to this role are:
• Ability to work independently and as part of a team
• 2-3 years experience in IT Audit (SOC2 or ISO 27001) or Information Security
• Excellent verbal and written communication skills
• A willingness to learn and develop new skills
• Excellent time management and an ability to prioritize
• Excellent soft skills
Responsibilities
Primary Responsibilities:
• Responding to Due Diligence Requests from customers and/or prospects.
• Participation in customer or prospect discussions on security related topics
• Developing artifacts in support of ISO 27001:2013 and SOC2 audit fieldwork
Secondary Responsibilities:
• Assisting with audits (internal) and control reviews in support of the MCO ISO 27001:2013 ISMS
• Member of the IT Security team working with other Technology departments including Architecture, Operations, and Engineering
• Work with security tools including (but not limited to) SIEM, Static Code Analysis, Vulnerability Management, Penetration Testing, etc.
• Other duties and responsibilities as assigned
Experience and Skills
Experience with any or all the following will be beneficial.
Essential Skills:
• Excellent soft skills to effectively communicate with all levels in both MCO and our clients
• Excellent analytical, critical thinking, and problem-solving skills
• Excellent verbal and written communication skills
Preferred Skills:
• IT Audit Experience with either ISO 27001 or SOC2 as a participant or SME (Subject Matter Expert)
• Security Certifications (or willingness to obtain) including: Security+, CC, CISA, SSCP, CISM, CCSP
• A working knowledge of the software development lifecycle (SDLC) for SaaS applications
• Knowledge of data protection legislation (GDPR, CCPA, etc Show more details...
via LinkedIn
posted_at: 3 days agoschedule_type: Full-time
Compliance Associate Responsibilities Include:
• Administering all aspects of employee Code of Ethics compliance program...
• Assisting with the preparation of regulatory filings.
• Conducting periodic compliance testing and review processes, including trade and e-mail
surveillance, monitoring and periodic certifications and testing processes.
• Designing and building compliance rules and automation projects.
• Monitoring the Firm’s
Compliance Associate Responsibilities Include:
• Administering all aspects of employee Code of Ethics compliance program...
• Assisting with the preparation of regulatory filings.
• Conducting periodic compliance testing and review processes, including trade and e-mail
surveillance, monitoring and periodic certifications and testing processes.
• Designing and building compliance rules and automation projects.
• Monitoring the Firm’s internal controls for effectiveness; assisting with annual reviews and risk
assessments.
• Maintaining books and records and ensuring completion of files.
• Interacting with other stakeholders at the firm, including the operations and investment teams.
• Identifying and resolving inefficiencies in current compliance workflow processes.
• Working on various ad-hoc reports and projects.
Qualifications
• Bachelors’ degree (or equivalent) required. JD or paralegal experience a plus, but not required.
• Minimum 1-4 years’ work experience in a compliance role, ideally at a hedge fund or other
registered investment adviser (RIA) or asset manager.
• Excellent written and verbal communication skills.
• Must be very enthusiastic and process oriented, with a strong work ethic, analytical and problemsolving skills and commitment to integrity and excellence.
• Ability to manage projects effectively and see through to completion.
• Must be well organized, pro-active, detail-oriented and meticulous.
• Strongly encouraged to have advanced skills in MS Excel, Word, PowerPoint, Outlook.
• Proficiency with Global Relay, Enfusion, MyComplianceOffice, Eze (or similar) a plus.
• Experience with coding (e.g., in Python, VBA or other computer languages) and database tools a
plus, but not required Show more details...
• Administering all aspects of employee Code of Ethics compliance program...
• Assisting with the preparation of regulatory filings.
• Conducting periodic compliance testing and review processes, including trade and e-mail
surveillance, monitoring and periodic certifications and testing processes.
• Designing and building compliance rules and automation projects.
• Monitoring the Firm’s internal controls for effectiveness; assisting with annual reviews and risk
assessments.
• Maintaining books and records and ensuring completion of files.
• Interacting with other stakeholders at the firm, including the operations and investment teams.
• Identifying and resolving inefficiencies in current compliance workflow processes.
• Working on various ad-hoc reports and projects.
Qualifications
• Bachelors’ degree (or equivalent) required. JD or paralegal experience a plus, but not required.
• Minimum 1-4 years’ work experience in a compliance role, ideally at a hedge fund or other
registered investment adviser (RIA) or asset manager.
• Excellent written and verbal communication skills.
• Must be very enthusiastic and process oriented, with a strong work ethic, analytical and problemsolving skills and commitment to integrity and excellence.
• Ability to manage projects effectively and see through to completion.
• Must be well organized, pro-active, detail-oriented and meticulous.
• Strongly encouraged to have advanced skills in MS Excel, Word, PowerPoint, Outlook.
• Proficiency with Global Relay, Enfusion, MyComplianceOffice, Eze (or similar) a plus.
• Experience with coding (e.g., in Python, VBA or other computer languages) and database tools a
plus, but not required Show more details...
via ZipRecruiter
schedule_type: Full-time
Overview
The Compliance Analyst will work as part of the corporate Compliance department and will participate in and/or support a variety of the department's compliance activities, including but not limited to, regulatory reporting, compliance testing, and internal control assessment...
Responsibilities
Create reports and content to meet the US and Non-US regulatory rating submission requirements. Assist in developing, maintaining and trouble-shooting
Overview
The Compliance Analyst will work as part of the corporate Compliance department and will participate in and/or support a variety of the department's compliance activities, including but not limited to, regulatory reporting, compliance testing, and internal control assessment...
Responsibilities
Create reports and content to meet the US and Non-US regulatory rating submission requirements. Assist in developing, maintaining and trouble-shooting electronic files/feeds ensuring that files meet the requirements of the various local regulatory bodies. Participate in the extraction and reporting for the Quarterly Compliance Certificate process from MyComplianceOffice Technologies (MCT), that will be used to support compliance monitoring. Develop and produce reports and related system enhancements as required, to facilitate compliance monitoring activities. Review and facilitate methods to automate and streamline the processes used to comply with rating regulatory requests made by regulators, such as the U.S. Securities Exchange Commission. Develop and conduct cross-checks between information presented on our website (and in other documents) and regulatory disclosure requirements. Participate in department projects and initiatives as required by management.
Qualifications
Bachelor's Degree in a business-related concentration.
2 years experience in programming and/or data analysis. 2 years Advanced MS Excel skills including Macros and Templates. MyComplianceOffice Technologies (MCT) software (formerly SCT), a plus. Oracle data access using TOAD(Quest Software) a plus. Access database experience a plus. Compliance experience a plus.
Skills Requires strong analytical skills and experience developing processes/procedures. Effective oral and written communication skills. In-depth knowledge of MS Excel including Macros and Templates. Knowledge of MyComplianceOffice Technologies (MCT) software (formerly SCT). Ability to work well independently or as part of a team. Ability to handle confidential information professionally. Ability to work on multiple tasks and balance near-term and long-term responsibilities. For internal candidates, proficient use and understanding of AM Best's information systems, such as Best's Credit Rating System (BCRS), and Best's Document Management System (DMS).Employment Type: OTHER Show more details...
The Compliance Analyst will work as part of the corporate Compliance department and will participate in and/or support a variety of the department's compliance activities, including but not limited to, regulatory reporting, compliance testing, and internal control assessment...
Responsibilities
Create reports and content to meet the US and Non-US regulatory rating submission requirements. Assist in developing, maintaining and trouble-shooting electronic files/feeds ensuring that files meet the requirements of the various local regulatory bodies. Participate in the extraction and reporting for the Quarterly Compliance Certificate process from MyComplianceOffice Technologies (MCT), that will be used to support compliance monitoring. Develop and produce reports and related system enhancements as required, to facilitate compliance monitoring activities. Review and facilitate methods to automate and streamline the processes used to comply with rating regulatory requests made by regulators, such as the U.S. Securities Exchange Commission. Develop and conduct cross-checks between information presented on our website (and in other documents) and regulatory disclosure requirements. Participate in department projects and initiatives as required by management.
Qualifications
Bachelor's Degree in a business-related concentration.
2 years experience in programming and/or data analysis. 2 years Advanced MS Excel skills including Macros and Templates. MyComplianceOffice Technologies (MCT) software (formerly SCT), a plus. Oracle data access using TOAD(Quest Software) a plus. Access database experience a plus. Compliance experience a plus.
Skills Requires strong analytical skills and experience developing processes/procedures. Effective oral and written communication skills. In-depth knowledge of MS Excel including Macros and Templates. Knowledge of MyComplianceOffice Technologies (MCT) software (formerly SCT). Ability to work well independently or as part of a team. Ability to handle confidential information professionally. Ability to work on multiple tasks and balance near-term and long-term responsibilities. For internal candidates, proficient use and understanding of AM Best's information systems, such as Best's Credit Rating System (BCRS), and Best's Document Management System (DMS).Employment Type: OTHER Show more details...
via Jooble
posted_at: 8 days agoschedule_type: Full-time
Senior Compliance Professional (Greenwich, CT):
Our client, a thriving hedge fund with over $2B in AUM and sticky investors, is hiring a diligent and competent Compliance Professional to join their team. Collaborating closely with the GC/CCO, this new hire will be given considerable autonomy to run and drive the compliance program. The GC/CCO here is an exceptional mentor who will help... professionally develop whoever steps into the role through
Senior Compliance Professional (Greenwich, CT):
Our client, a thriving hedge fund with over $2B in AUM and sticky investors, is hiring a diligent and competent Compliance Professional to join their team. Collaborating closely with the GC/CCO, this new hire will be given considerable autonomy to run and drive the compliance program. The GC/CCO here is an exceptional mentor who will help... professionally develop whoever steps into the role through support, continued education, and guidance.
Key Points:
High visibility role with the chance to collaborate closely with senior management and acquire insights from their expertise
Individual will be given the autonomy to run specific projects and can get involved in work outside of compliance if interested
Solid work/life balance and in office 4 days/week
Opportunity to make a significant impact on both the firm and the team
GC/CCO is one of the top-regarded professionals in the industry
Responsibilities:
Supervising the Code of Ethics and Compliance Manual, and identifying areas for improvement, as necessary
Overseeing and testing the compliance program to ensure its effectiveness
Keeping track of investment thresholds, including ownership percentages for filings, IPO requests, and post-trade compliance reviews
Examining, preparing, and completing regulatory filings, such as Form ADV, Form 13F, Form 13G/D, Form 13H, Form PF, and various treasury and international filings, as required.
Reviewing marketing, investor relations materials, and all offerings, and assisting with operational due diligence
Providing supervision for the company's cybersecurity program
Aiding in addressing all regulatory examinations and inquiries
Qualifications:
5-7 years of proven experience, ideally with a background as an in-house compliance professional for a hedge fund, private credit, or private equity firm
Bachelors degree in business, finance, or related field
Proven experience with compliance and regulatory issues governed by the Investment Advisers Act, and experience in managing third-party resources
Experience with compliance software modules, preferably MyComplianceOffice
Established a record of collaborating with others to achieve common business goals
Compensation:
$200-250K base; $300-400K all-in
Job Reference #1935
#J-18808-Ljbffr Show more details...
Our client, a thriving hedge fund with over $2B in AUM and sticky investors, is hiring a diligent and competent Compliance Professional to join their team. Collaborating closely with the GC/CCO, this new hire will be given considerable autonomy to run and drive the compliance program. The GC/CCO here is an exceptional mentor who will help... professionally develop whoever steps into the role through support, continued education, and guidance.
Key Points:
High visibility role with the chance to collaborate closely with senior management and acquire insights from their expertise
Individual will be given the autonomy to run specific projects and can get involved in work outside of compliance if interested
Solid work/life balance and in office 4 days/week
Opportunity to make a significant impact on both the firm and the team
GC/CCO is one of the top-regarded professionals in the industry
Responsibilities:
Supervising the Code of Ethics and Compliance Manual, and identifying areas for improvement, as necessary
Overseeing and testing the compliance program to ensure its effectiveness
Keeping track of investment thresholds, including ownership percentages for filings, IPO requests, and post-trade compliance reviews
Examining, preparing, and completing regulatory filings, such as Form ADV, Form 13F, Form 13G/D, Form 13H, Form PF, and various treasury and international filings, as required.
Reviewing marketing, investor relations materials, and all offerings, and assisting with operational due diligence
Providing supervision for the company's cybersecurity program
Aiding in addressing all regulatory examinations and inquiries
Qualifications:
5-7 years of proven experience, ideally with a background as an in-house compliance professional for a hedge fund, private credit, or private equity firm
Bachelors degree in business, finance, or related field
Proven experience with compliance and regulatory issues governed by the Investment Advisers Act, and experience in managing third-party resources
Experience with compliance software modules, preferably MyComplianceOffice
Established a record of collaborating with others to achieve common business goals
Compensation:
$200-250K base; $300-400K all-in
Job Reference #1935
#J-18808-Ljbffr Show more details...
via TEKsystems Careers
posted_at: 8 days agoschedule_type: Full-timesalary: 50–55 an hour
Must have compliance software experience to be considered
Open to evaluating consultants with competitor software to Star Compliance; including Nitrogen, MyComplianceOffice, Orion Risk Intelligence, ComplySci, SAS Fraud, Anti-Money Laundering & Security Intelligence, Quantum Beacon, SaaS Risk Modeling, FactSet Portfolio & Risk Analytics, Stratify Prism...
Description:
Responsibilities
• Organize system standards with company guidelines for the
Must have compliance software experience to be considered
Open to evaluating consultants with competitor software to Star Compliance; including Nitrogen, MyComplianceOffice, Orion Risk Intelligence, ComplySci, SAS Fraud, Anti-Money Laundering & Security Intelligence, Quantum Beacon, SaaS Risk Modeling, FactSet Portfolio & Risk Analytics, Stratify Prism...
Description:
Responsibilities
• Organize system standards with company guidelines for the automated delivery and receipt of periodic reporting. Analyze large data sets to evaluate and summarize issues relating to personal trading, potential conflicts, and required certifications
• Ensure that outside vendor supplied information is accurately transmitted and stored into StarCompliance
• create an update policies and procedures using a risk based approach to address changes to the business, regulations, regulatory priorities, products, or to align with best practices
• Develop and manage processes, procedures, and workflows to ensure accuracy and timeliness of reporting and requests, which may include performance and other types of data.
• Serve as a resource to the business on compliance considerations and solutions in areas of expertise
• Resolve or recommend resolution for compliance issues depending on materiality
• Perform a wide range of established and ad hoc reporting and requests for internal and external parties, including clients and potential clients
How you will make an impact:
• Experience mapping and documenting system to system data integrations
• Resolve Business User requests and production issues.
• Data integration development required.
• API/CSV/JSON/XML file source experience required.
• Demonstrates growth mindset and ability to learn emerging data technologies.
• Strong Data analysis skills
Skills:
StarCompliance, FINRA, Data Integration, Azure Pipelines
About TEKsystems:
We're partners in transformation. We help clients activate ideas and solutions to take advantage of a new world of opportunity. We are a team of 80,000 strong, working with over 6,000 clients, including 80% of the Fortune 500, across North America, Europe and Asia. As an industry leader in Full-Stack Technology Services, Talent Services, and real-world application, we work with progressive leaders to drive change. That's the power of true partnership. TEKsystems is an Allegis Group company.
The company is an equal opportunity employer and will consider all applications without regards to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law Show more details...
Open to evaluating consultants with competitor software to Star Compliance; including Nitrogen, MyComplianceOffice, Orion Risk Intelligence, ComplySci, SAS Fraud, Anti-Money Laundering & Security Intelligence, Quantum Beacon, SaaS Risk Modeling, FactSet Portfolio & Risk Analytics, Stratify Prism...
Description:
Responsibilities
• Organize system standards with company guidelines for the automated delivery and receipt of periodic reporting. Analyze large data sets to evaluate and summarize issues relating to personal trading, potential conflicts, and required certifications
• Ensure that outside vendor supplied information is accurately transmitted and stored into StarCompliance
• create an update policies and procedures using a risk based approach to address changes to the business, regulations, regulatory priorities, products, or to align with best practices
• Develop and manage processes, procedures, and workflows to ensure accuracy and timeliness of reporting and requests, which may include performance and other types of data.
• Serve as a resource to the business on compliance considerations and solutions in areas of expertise
• Resolve or recommend resolution for compliance issues depending on materiality
• Perform a wide range of established and ad hoc reporting and requests for internal and external parties, including clients and potential clients
How you will make an impact:
• Experience mapping and documenting system to system data integrations
• Resolve Business User requests and production issues.
• Data integration development required.
• API/CSV/JSON/XML file source experience required.
• Demonstrates growth mindset and ability to learn emerging data technologies.
• Strong Data analysis skills
Skills:
StarCompliance, FINRA, Data Integration, Azure Pipelines
About TEKsystems:
We're partners in transformation. We help clients activate ideas and solutions to take advantage of a new world of opportunity. We are a team of 80,000 strong, working with over 6,000 clients, including 80% of the Fortune 500, across North America, Europe and Asia. As an industry leader in Full-Stack Technology Services, Talent Services, and real-world application, we work with progressive leaders to drive change. That's the power of true partnership. TEKsystems is an Allegis Group company.
The company is an equal opportunity employer and will consider all applications without regards to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law Show more details...
via ZipRecruiter
schedule_type: Full-time
Bessemer Trust is seeking an analytical and detail-oriented individual with excellent project management skills to join the Compliance Department. The ideal candidate should demonstrate excellent communication and interpersonal skills, sound judgment, curiosity, and adaptability.
Reporting to a senior manager within the Compliance Department, the Investment Compliance Analyst will be a member of... the Investment Management Compliance team, which
Bessemer Trust is seeking an analytical and detail-oriented individual with excellent project management skills to join the Compliance Department. The ideal candidate should demonstrate excellent communication and interpersonal skills, sound judgment, curiosity, and adaptability.
Reporting to a senior manager within the Compliance Department, the Investment Compliance Analyst will be a member of... the Investment Management Compliance team, which is responsible for administering various Compliance programs in support of Bessemer's proprietary mutual funds, registered investment adviser, broker-dealer, and bank/trust company activities.
Principal Responsibilities:
• Conduct testing of various controls in accordance with SEC Rules 38a-1 and 206(4)-7; report results and provide any recommendations
• Assist with portfolio compliance monitoring
• Assist with the development, tracking and delivery of Compliance training
• Assist in the maintenance of Compliance policies and procedures
• Assist in the production of board and committee materials, and other reporting as needed
• Assist with Compliance due diligence of service providers, including sub-adviser, mutual fund administrator, transfer agent, and distributor on-site visits and questionnaires
• Assist with personal trading, outside business activity, gifts and entertainment and electronic communications review
• Assist with AML monitoring and surveillance
• Keep current on applicable laws and regulations, particularly those promulgated by the SEC, FINRA, bank regulators, and industry best practices
• Assist with responding to regulatory exams and internal audit requests
• Assist with ad hoc Compliance tasks and/or projects, as assigned
Qualifications:
• Bachelor's degree required; other advanced degrees, certifications, experience and training, a plus (JD, CFA, CPA, experience working at a regulator)
• 3 - 5 years of Compliance, Risk, Audit, Banking, Finance or other relevant experience
• Excellent written and oral communication skills
• Effective organizational skills
• Proficient in the computer applications necessary for performing the essential duties and responsibilities of the job. These applications include Microsoft Word, Excel, Outlook, and PowerPoint
• Experience or proficiency in Qlik, Bloomberg, Longview and MyComplianceOffice is a plus
The base salary range for this position is $80,000.00 - $105,000.00. Actual salaries will vary and will be based on various factors, such as skills, experience, and qualification for the role. It is not typical for offers to be made at or near the top of the range.
In addition, this position may be eligible for a discretionary incentive based on individual and company performance.
Eligible employees may participate in a 401 (k) program with a company profit sharing contribution, medical, dental, vision, life insurance and disability coverage and paid holidays, vacation, and sick days Show more details...
Reporting to a senior manager within the Compliance Department, the Investment Compliance Analyst will be a member of... the Investment Management Compliance team, which is responsible for administering various Compliance programs in support of Bessemer's proprietary mutual funds, registered investment adviser, broker-dealer, and bank/trust company activities.
Principal Responsibilities:
• Conduct testing of various controls in accordance with SEC Rules 38a-1 and 206(4)-7; report results and provide any recommendations
• Assist with portfolio compliance monitoring
• Assist with the development, tracking and delivery of Compliance training
• Assist in the maintenance of Compliance policies and procedures
• Assist in the production of board and committee materials, and other reporting as needed
• Assist with Compliance due diligence of service providers, including sub-adviser, mutual fund administrator, transfer agent, and distributor on-site visits and questionnaires
• Assist with personal trading, outside business activity, gifts and entertainment and electronic communications review
• Assist with AML monitoring and surveillance
• Keep current on applicable laws and regulations, particularly those promulgated by the SEC, FINRA, bank regulators, and industry best practices
• Assist with responding to regulatory exams and internal audit requests
• Assist with ad hoc Compliance tasks and/or projects, as assigned
Qualifications:
• Bachelor's degree required; other advanced degrees, certifications, experience and training, a plus (JD, CFA, CPA, experience working at a regulator)
• 3 - 5 years of Compliance, Risk, Audit, Banking, Finance or other relevant experience
• Excellent written and oral communication skills
• Effective organizational skills
• Proficient in the computer applications necessary for performing the essential duties and responsibilities of the job. These applications include Microsoft Word, Excel, Outlook, and PowerPoint
• Experience or proficiency in Qlik, Bloomberg, Longview and MyComplianceOffice is a plus
The base salary range for this position is $80,000.00 - $105,000.00. Actual salaries will vary and will be based on various factors, such as skills, experience, and qualification for the role. It is not typical for offers to be made at or near the top of the range.
In addition, this position may be eligible for a discretionary incentive based on individual and company performance.
Eligible employees may participate in a 401 (k) program with a company profit sharing contribution, medical, dental, vision, life insurance and disability coverage and paid holidays, vacation, and sick days Show more details...
via ZipRecruiter
posted_at: 14 days agoschedule_type: Full-time
WHO are we looking for?
CAPTRUST is seeking an Associate II to join our Compliance Team. You will work with a Senior Compliance Manager to assist with compliance controls, multiple database systems, and maintaining compliance data integrity. Additionally, you will be assisting with compliance journaling, insurance/securities licensing, tracking continuing education, and file management...
Our ideal candidate has an eagerness to enhance their acumen
WHO are we looking for?
CAPTRUST is seeking an Associate II to join our Compliance Team. You will work with a Senior Compliance Manager to assist with compliance controls, multiple database systems, and maintaining compliance data integrity. Additionally, you will be assisting with compliance journaling, insurance/securities licensing, tracking continuing education, and file management...
Our ideal candidate has an eagerness to enhance their acumen in the investment adviser industry and would like to grow in a tight-knit, collaborative Compliance team with an established SEC-registered investment adviser and registered broker-dealer motivated to focus exclusively on the best interests of their clients. They will assist with compliance functions relating to CAPTRUST’s investment advisory and broker dealer business with an emphasis on the firm’s compliance controls and data. In addition to a Senior Compliance Manager, they will work with their immediate compliance team on a day-to-day basis. The individual should have knowledge about the basic compliance responsibilities of registered investment advisers. The candidate must maintain the highest professional and ethical standards, be well-organized, and capable of performing under tight deadlines. The ideal candidate is also someone who will be self-motivated to research and enhance their understanding of registered investment adviser and broker-dealer rules, regulations, and best practices.
• Become a proficient user of the firm’s compliance technology applications
• Meet day-to-day workflow, including ad hoc requests/matters that arise during the week
• Assist with special assignments and perform other compliance department related duties as directed by a Senior Compliance Manager
• Collaborate with individuals in other departments as needed
Minimum Qualifications:
• Bachelor’s degree
• 1 - 3 years of work experience; working at an investment advisory firm/broker-dealer with direct or indirect exposure to compliance is preferable
• Highest standard of personal and professional ethics and integrity
Desired Qualifications/Skills:
• Strong skills in written and oral communication, attention to detail, analysis, multitasking, prioritizing, and organization
• Strong interpersonal skills, ability to maintain confidentiality, and professional demeanor
• Ability to work both independently and in a team environment; proactive and can independently carry out projects to their completion
• Intermediate Excel skills and proficiency in MS Office & Microsoft 365 (Word, PowerPoint, Outlook, SharePoint, Teams) expected; experience with MyComplianceOffice or any other compliance reporting systems would be a plus
• FINRA and/or Insurance Licensing would be a plus
WHAT can you expect from your career at CAPTRUST?
Our colleagues, like our clients, tend to stay with CAPTRUST for years. There's a reason for it; it's a great culture in which to work and grow. We all work together, each of us motivating those around us with our commitment to high standards. At CAPTRUST, expect a fully stocked break room, fun employee events, and a quality team surrounding you with opportunities for personal growth.
Our Employee Benefits Package shows how much we value our team. Some benefits include:
• Employee ownership opportunities
• Brick Bonus success sharing program
• Comprehensive health coverage + Virgin Pulse wellness platform
• 401(k) program with a 5% employer match + financial planning for colleagues
WHERE will you be working?
4208 Six Forks Rd #1700 | Raleigh, NC 27609
Due to the nature of the role, this is not a remote or work from home position. #LI-Onsite
HOW do we build a world class organization one brick at a time?
We make it a priority to hire those who have a commitment to service, a real interest in other people, and a passion to continuously improve. Simply put: the difference at CAPTRUST is the quality of our people and depth of our bench. If you are ready to make your mark, we want to talk to you.
Are you the next brick?
To get it done the CAPTRUST Way, an individual should exhibit the following characteristics:
• Ability to build successful, collaborative, and trusting relationships
• Instinctive aptitude for consistently creating accurate, concise, respectful, and easy-to-understand verbal and written communications conveying complex information
• A strong sense of urgency about getting work done and solving problems to achieve results that benefit our clients and colleagues, even when faced with challenges
• Inherent desire to give back to our communities and enrich the lives of those around us
• An other-centered mindset
• Integrity through maintaining objectivity
EEO/Diversity Statement:
At CAPTRUST, we are committed to building and maintaining a diverse workforce and inclusive work environment where ALL colleagues feel authentically seen, respected, and supported.
CAPTRUST is committed to providing employment opportunities without regard to race, color, age, sex, sexual orientation, familial status, religious creed, national origin, ancestry, medical condition, marital status and registered domestic partner status, citizenship status, military and veteran status, disability, protected medical condition, genetic information, or any other status protected by law. CAPTRUST makes all employment decisions without regard to these protected statuses and does not tolerate harassment or discrimination. #associate Show more details...
CAPTRUST is seeking an Associate II to join our Compliance Team. You will work with a Senior Compliance Manager to assist with compliance controls, multiple database systems, and maintaining compliance data integrity. Additionally, you will be assisting with compliance journaling, insurance/securities licensing, tracking continuing education, and file management...
Our ideal candidate has an eagerness to enhance their acumen in the investment adviser industry and would like to grow in a tight-knit, collaborative Compliance team with an established SEC-registered investment adviser and registered broker-dealer motivated to focus exclusively on the best interests of their clients. They will assist with compliance functions relating to CAPTRUST’s investment advisory and broker dealer business with an emphasis on the firm’s compliance controls and data. In addition to a Senior Compliance Manager, they will work with their immediate compliance team on a day-to-day basis. The individual should have knowledge about the basic compliance responsibilities of registered investment advisers. The candidate must maintain the highest professional and ethical standards, be well-organized, and capable of performing under tight deadlines. The ideal candidate is also someone who will be self-motivated to research and enhance their understanding of registered investment adviser and broker-dealer rules, regulations, and best practices.
• Become a proficient user of the firm’s compliance technology applications
• Meet day-to-day workflow, including ad hoc requests/matters that arise during the week
• Assist with special assignments and perform other compliance department related duties as directed by a Senior Compliance Manager
• Collaborate with individuals in other departments as needed
Minimum Qualifications:
• Bachelor’s degree
• 1 - 3 years of work experience; working at an investment advisory firm/broker-dealer with direct or indirect exposure to compliance is preferable
• Highest standard of personal and professional ethics and integrity
Desired Qualifications/Skills:
• Strong skills in written and oral communication, attention to detail, analysis, multitasking, prioritizing, and organization
• Strong interpersonal skills, ability to maintain confidentiality, and professional demeanor
• Ability to work both independently and in a team environment; proactive and can independently carry out projects to their completion
• Intermediate Excel skills and proficiency in MS Office & Microsoft 365 (Word, PowerPoint, Outlook, SharePoint, Teams) expected; experience with MyComplianceOffice or any other compliance reporting systems would be a plus
• FINRA and/or Insurance Licensing would be a plus
WHAT can you expect from your career at CAPTRUST?
Our colleagues, like our clients, tend to stay with CAPTRUST for years. There's a reason for it; it's a great culture in which to work and grow. We all work together, each of us motivating those around us with our commitment to high standards. At CAPTRUST, expect a fully stocked break room, fun employee events, and a quality team surrounding you with opportunities for personal growth.
Our Employee Benefits Package shows how much we value our team. Some benefits include:
• Employee ownership opportunities
• Brick Bonus success sharing program
• Comprehensive health coverage + Virgin Pulse wellness platform
• 401(k) program with a 5% employer match + financial planning for colleagues
WHERE will you be working?
4208 Six Forks Rd #1700 | Raleigh, NC 27609
Due to the nature of the role, this is not a remote or work from home position. #LI-Onsite
HOW do we build a world class organization one brick at a time?
We make it a priority to hire those who have a commitment to service, a real interest in other people, and a passion to continuously improve. Simply put: the difference at CAPTRUST is the quality of our people and depth of our bench. If you are ready to make your mark, we want to talk to you.
Are you the next brick?
To get it done the CAPTRUST Way, an individual should exhibit the following characteristics:
• Ability to build successful, collaborative, and trusting relationships
• Instinctive aptitude for consistently creating accurate, concise, respectful, and easy-to-understand verbal and written communications conveying complex information
• A strong sense of urgency about getting work done and solving problems to achieve results that benefit our clients and colleagues, even when faced with challenges
• Inherent desire to give back to our communities and enrich the lives of those around us
• An other-centered mindset
• Integrity through maintaining objectivity
EEO/Diversity Statement:
At CAPTRUST, we are committed to building and maintaining a diverse workforce and inclusive work environment where ALL colleagues feel authentically seen, respected, and supported.
CAPTRUST is committed to providing employment opportunities without regard to race, color, age, sex, sexual orientation, familial status, religious creed, national origin, ancestry, medical condition, marital status and registered domestic partner status, citizenship status, military and veteran status, disability, protected medical condition, genetic information, or any other status protected by law. CAPTRUST makes all employment decisions without regard to these protected statuses and does not tolerate harassment or discrimination. #associate Show more details...
via Glassdoor
posted_at: 5 days agoschedule_type: Full-timesalary: 85K–135K a year
Description:
Lido Advisors, LLC, one of the fastest growing and dynamic independent SEC-registered investment advisors in the country, is looking to expand its Legal, Compliance, and Risk Department by adding at least one mid-level compliance or legal professional to our team...
The successful candidate will have a minimum of three years of direct, investment advisor-related legal or compliance experience involving one or more of the following areas:
•
Description:
Lido Advisors, LLC, one of the fastest growing and dynamic independent SEC-registered investment advisors in the country, is looking to expand its Legal, Compliance, and Risk Department by adding at least one mid-level compliance or legal professional to our team...
The successful candidate will have a minimum of three years of direct, investment advisor-related legal or compliance experience involving one or more of the following areas:
• Individual ultra-high-net-worth and family office wealth management clients; and
• Private pooled investment vehicles, such as hedge and real estate-based private funds.
In addition, SEC-related experience is preferred, either within or handling matters involving the agency.
You must be ready to take on the daily challenges of managing legal and regulatory issues arising from Lido’s rapidly expanding national presence, managing nearly $20 billion of assets (increasing 30% year-over-year), and growing stable of in-house, affiliated, and third-party managed investment vehicles. You will work closely and collaboratively with the Chief Legal and Compliance Officer. Your track record of achievement and excellence through identifiable results in education and professional experience will be meaningful to us. Most importantly, we value diverse perspectives that will contribute to our team’s and our firm’s competitiveness, capabilities, and culture.
Duties and Responsibilities
• Excellent communication and advocacy skills to apply in advising senior executives and the firm as a whole on key compliance-related issues.
• Analyze qualitative and quantitative business, legal, and compliance issues and apply independent judgment to efficiently and expeditiously provide a wide range of deliverables to the Chief Legal and Compliance officer, senior members of the compliance team, and the senior executives at large.
• Value inclusiveness in a dynamic team environment, engage in robust deliberations and engagement, be fearless in defending your point of view, and accept that the process of finding the right answer requires open and direct dialogue.
• Embrace technology and innovation to address important compliance requirements.
On a technical basis, you will:
• Prepare and file investment advisor filings.
• Implement and maintain the compliance program to meet industry and regulatory standards.
• Prepare and maintain employee disclosure forms and assist in the organization and maintenance of required books and records.
• Review marketing materials and other client communications materials.
• Review and conduct due diligence of vendors and other third parties.
• Review and monitor valuation information.
• Monitor employee compliance via MyComplianceOffice
• Conduct, in conjunction with the Legal and Compliance team, Annual Review process.
• Drafting and distributing firm policies.
• Conduct regulatory audits as needed.
• Assist with surprise custody audits as needed.
• Conduct branch office audits.
Requirements:
• Bachelor’s degree or equivalent work experience required.
• A minimum of 3 years of investment advisory compliance experience required, SEC or related financial; regulatory experience preferred.
• Demonstrable track record of excellence.
• Ability and agility to adjust to a highly competitive industry and fast-growing firm’s business priorities.
• Strong Excel, Word, and PowerPoint skills.
• Familiarity with Addepar and Salesforce is strongly preferred.
We are an equal-opportunity employer. All applicants will be considered for employment without attention to race, color, religion, sex, sexual orientation, gender identity, national origin, veteran or disability status, or any other class protected by federal, state, or local law. In addition, we do not discriminate against qualified applicants with arrest or conviction records.
The successful candidate’s starting pay will be determined based on job-related skills, experience, qualifications, work location, and market conditions. The range below is an estimate and may be modified in the future Show more details...
Lido Advisors, LLC, one of the fastest growing and dynamic independent SEC-registered investment advisors in the country, is looking to expand its Legal, Compliance, and Risk Department by adding at least one mid-level compliance or legal professional to our team...
The successful candidate will have a minimum of three years of direct, investment advisor-related legal or compliance experience involving one or more of the following areas:
• Individual ultra-high-net-worth and family office wealth management clients; and
• Private pooled investment vehicles, such as hedge and real estate-based private funds.
In addition, SEC-related experience is preferred, either within or handling matters involving the agency.
You must be ready to take on the daily challenges of managing legal and regulatory issues arising from Lido’s rapidly expanding national presence, managing nearly $20 billion of assets (increasing 30% year-over-year), and growing stable of in-house, affiliated, and third-party managed investment vehicles. You will work closely and collaboratively with the Chief Legal and Compliance Officer. Your track record of achievement and excellence through identifiable results in education and professional experience will be meaningful to us. Most importantly, we value diverse perspectives that will contribute to our team’s and our firm’s competitiveness, capabilities, and culture.
Duties and Responsibilities
• Excellent communication and advocacy skills to apply in advising senior executives and the firm as a whole on key compliance-related issues.
• Analyze qualitative and quantitative business, legal, and compliance issues and apply independent judgment to efficiently and expeditiously provide a wide range of deliverables to the Chief Legal and Compliance officer, senior members of the compliance team, and the senior executives at large.
• Value inclusiveness in a dynamic team environment, engage in robust deliberations and engagement, be fearless in defending your point of view, and accept that the process of finding the right answer requires open and direct dialogue.
• Embrace technology and innovation to address important compliance requirements.
On a technical basis, you will:
• Prepare and file investment advisor filings.
• Implement and maintain the compliance program to meet industry and regulatory standards.
• Prepare and maintain employee disclosure forms and assist in the organization and maintenance of required books and records.
• Review marketing materials and other client communications materials.
• Review and conduct due diligence of vendors and other third parties.
• Review and monitor valuation information.
• Monitor employee compliance via MyComplianceOffice
• Conduct, in conjunction with the Legal and Compliance team, Annual Review process.
• Drafting and distributing firm policies.
• Conduct regulatory audits as needed.
• Assist with surprise custody audits as needed.
• Conduct branch office audits.
Requirements:
• Bachelor’s degree or equivalent work experience required.
• A minimum of 3 years of investment advisory compliance experience required, SEC or related financial; regulatory experience preferred.
• Demonstrable track record of excellence.
• Ability and agility to adjust to a highly competitive industry and fast-growing firm’s business priorities.
• Strong Excel, Word, and PowerPoint skills.
• Familiarity with Addepar and Salesforce is strongly preferred.
We are an equal-opportunity employer. All applicants will be considered for employment without attention to race, color, religion, sex, sexual orientation, gender identity, national origin, veteran or disability status, or any other class protected by federal, state, or local law. In addition, we do not discriminate against qualified applicants with arrest or conviction records.
The successful candidate’s starting pay will be determined based on job-related skills, experience, qualifications, work location, and market conditions. The range below is an estimate and may be modified in the future Show more details...
via ZipRecruiter
posted_at: 29 days agoschedule_type: Full-time
Job Type
Full-time...
Description
The Senior Compliance Specialist is responsible for assisting the Director, Compliance, Sr. Manager, Compliance, and Manager, Compliance in ensuring the company's compliance with all applicable federal and state laws and regulations. The Senior Compliance Specialist assists in administering the company's compliance program including compliance policies, procedures, monitoring, testing, training, projects, and initiatives;
Job Type
Full-time...
Description
The Senior Compliance Specialist is responsible for assisting the Director, Compliance, Sr. Manager, Compliance, and Manager, Compliance in ensuring the company's compliance with all applicable federal and state laws and regulations. The Senior Compliance Specialist assists in administering the company's compliance program including compliance policies, procedures, monitoring, testing, training, projects, and initiatives; maintaining specific industry knowledge to ensure all activities of the company meet regulatory requirements; ensuring that the branch office personnel are trained on and adhering to compliance policies and procedures; and answering company staff questions regarding client and company compliance issues.
Principal Accountabilities (Essential Duties):
1) Partner with Manager, Compliance, Senior Manager, Compliance, and Director, Compliance to complete department and company compliance projects
2) Maintain and develop company compliance policies and procedures including development of internal compliance department written procedures in partnership with compliance team
3) Review and approve marketing, sales, and advertising material in compliance with federal and state regulatory requirements, laws, and regulation
4) Review and approve social media postings and content to ensure compliance with federal and state regulatory requirements, laws, and regulations
5) Develop and execute and/or assist with execution of compliance monitoring and testing programs for company and branch offices including but not limited to:
• Performance of branch office reviews, including travel to branch offices for onsite scheduled reviews
• Performance of compliance monitoring such as for Bank Secrecy Act, investment and account reviews, personal securities transaction reporting, marketing and advertising
• Performance of other compliance testing
6) Manage assigned compliance management (MyComplianceOffice) system cases
7) Support Director, Compliance with administration of Branch Compliance Administrator Program
8) Develop and/or perform staff compliance training as needed to reinforce compliance policies and procedures
9) Work with team on preparation of ongoing compliance and enterprise risk assessments and regulatory filings
10) Work with team to develop and maintain client agreements and other compliance forms and notices
11) Stay abreast of regulatory rule changes, which may include attending conferences and various training sessions and seminars or webinars
12) Respond to multiple daily ongoing staff requests for information and questions relating to a broad range of compliance topics; research regulatory issues or questions as requested
13) Assist team with preparation and response to regulatory examinations and internal/external audits
14) Review and make recommendations to contracts and agreements, legal and regulatory requirements of sales and marketing materials, and provide guidance on client matters relating to powers of attorney, guardianship, divorce, etc. desired
15) Approaches work, interactions, and relationships in a manner consistent with the Company's Core Values
16) Maintains the highest Compliance standards by adhering to the company's Human Resources guidelines, Compliance policies and procedures, professional designation standards, and industry's regulatory standards to mitigate risk to the company
17) Perform other tasks as assigned or requested
Requirements
Qualifications:
To perform this job successfully, an individual must be able to perform each essential duty satisfactorily and exhibit competence in the following skill areas: use of language, business mathematical skills and effective reasoning skills. The requirements and qualifications listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
• Strong verbal and written communication skills
• Knowledge of business processes and procedures
• Ability to make independent judgments
• Ability to handle confidential information
• Ability to work in fast-paced, customer service environment with close deadlines
• Oriented towards the increasing use of technology to solve compliance functions of the company
• High attention to detail
• Excellent organizational skills
Education, Experience & Skills:
• Bachelor's degree required, preferably in a business-related area of study
• Minimum of 3-5 years' prior experience in financial services industry, audit, or investments, preferably in regulatory compliance
• Advanced knowledge or experience in legal and regulatory requirements of laws and regulations applicable to sales, advertising, and marketing materials in the financial services industry
• Advanced knowledge or experience in federal and state regulatory requirements applicable to social media postings and content in the financial services industry
• Knowledge or experience with laws and regulations applicable to trust company a plus (banking, trust, privacy, anti-money laundering, investments)
Travel Demands:
• Travel demands may be significant and could include but not be limited to 10 - 15 overnight business trips per year, by air or other reasonable means of transportation.
Certifications:
• None required, but desire to work toward receipt of professional compliance credential such as CFIRS, CRCM, ACAMS, or similar strongly preferred Show more details...
Full-time...
Description
The Senior Compliance Specialist is responsible for assisting the Director, Compliance, Sr. Manager, Compliance, and Manager, Compliance in ensuring the company's compliance with all applicable federal and state laws and regulations. The Senior Compliance Specialist assists in administering the company's compliance program including compliance policies, procedures, monitoring, testing, training, projects, and initiatives; maintaining specific industry knowledge to ensure all activities of the company meet regulatory requirements; ensuring that the branch office personnel are trained on and adhering to compliance policies and procedures; and answering company staff questions regarding client and company compliance issues.
Principal Accountabilities (Essential Duties):
1) Partner with Manager, Compliance, Senior Manager, Compliance, and Director, Compliance to complete department and company compliance projects
2) Maintain and develop company compliance policies and procedures including development of internal compliance department written procedures in partnership with compliance team
3) Review and approve marketing, sales, and advertising material in compliance with federal and state regulatory requirements, laws, and regulation
4) Review and approve social media postings and content to ensure compliance with federal and state regulatory requirements, laws, and regulations
5) Develop and execute and/or assist with execution of compliance monitoring and testing programs for company and branch offices including but not limited to:
• Performance of branch office reviews, including travel to branch offices for onsite scheduled reviews
• Performance of compliance monitoring such as for Bank Secrecy Act, investment and account reviews, personal securities transaction reporting, marketing and advertising
• Performance of other compliance testing
6) Manage assigned compliance management (MyComplianceOffice) system cases
7) Support Director, Compliance with administration of Branch Compliance Administrator Program
8) Develop and/or perform staff compliance training as needed to reinforce compliance policies and procedures
9) Work with team on preparation of ongoing compliance and enterprise risk assessments and regulatory filings
10) Work with team to develop and maintain client agreements and other compliance forms and notices
11) Stay abreast of regulatory rule changes, which may include attending conferences and various training sessions and seminars or webinars
12) Respond to multiple daily ongoing staff requests for information and questions relating to a broad range of compliance topics; research regulatory issues or questions as requested
13) Assist team with preparation and response to regulatory examinations and internal/external audits
14) Review and make recommendations to contracts and agreements, legal and regulatory requirements of sales and marketing materials, and provide guidance on client matters relating to powers of attorney, guardianship, divorce, etc. desired
15) Approaches work, interactions, and relationships in a manner consistent with the Company's Core Values
16) Maintains the highest Compliance standards by adhering to the company's Human Resources guidelines, Compliance policies and procedures, professional designation standards, and industry's regulatory standards to mitigate risk to the company
17) Perform other tasks as assigned or requested
Requirements
Qualifications:
To perform this job successfully, an individual must be able to perform each essential duty satisfactorily and exhibit competence in the following skill areas: use of language, business mathematical skills and effective reasoning skills. The requirements and qualifications listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
• Strong verbal and written communication skills
• Knowledge of business processes and procedures
• Ability to make independent judgments
• Ability to handle confidential information
• Ability to work in fast-paced, customer service environment with close deadlines
• Oriented towards the increasing use of technology to solve compliance functions of the company
• High attention to detail
• Excellent organizational skills
Education, Experience & Skills:
• Bachelor's degree required, preferably in a business-related area of study
• Minimum of 3-5 years' prior experience in financial services industry, audit, or investments, preferably in regulatory compliance
• Advanced knowledge or experience in legal and regulatory requirements of laws and regulations applicable to sales, advertising, and marketing materials in the financial services industry
• Advanced knowledge or experience in federal and state regulatory requirements applicable to social media postings and content in the financial services industry
• Knowledge or experience with laws and regulations applicable to trust company a plus (banking, trust, privacy, anti-money laundering, investments)
Travel Demands:
• Travel demands may be significant and could include but not be limited to 10 - 15 overnight business trips per year, by air or other reasonable means of transportation.
Certifications:
• None required, but desire to work toward receipt of professional compliance credential such as CFIRS, CRCM, ACAMS, or similar strongly preferred Show more details...
via Salary.com
posted_at: 9 days agoschedule_type: Full-time
Overview
WHO are we looking for...
We are looking for a Senior Compliance Analyst to join our Compliance Team. You will work with the Senior Director of Compliance to help maintain and implement the compliance program and drive adherence with applicable laws, regulations, and regulatory guidance, specifically with respect to advisory support of marketing and business lines.
Our ideal candidate has a strong working knowledge about the compliance
Overview
WHO are we looking for...
We are looking for a Senior Compliance Analyst to join our Compliance Team. You will work with the Senior Director of Compliance to help maintain and implement the compliance program and drive adherence with applicable laws, regulations, and regulatory guidance, specifically with respect to advisory support of marketing and business lines.
Our ideal candidate has a strong working knowledge about the compliance responsibilities of SEC-registered RIAs, including the requirements applicable to marketing materials and the development of policies and controls. The candidate must maintain the highest professional and ethical standards, be well-organized, and capable of performing under tight deadlines. The individual needs to be self-motivated to research and enhance their understanding of applicable 1940 Investment Advisers Act rules and best practices. In addition to collaborating with and providing compliance-related guidance to individuals in other areas of the firm, the candidate will assist with training and supporting others within the Compliance group. The ideal candidate is eager to continue developing their career in IA Compliance and would like to grow in a tight-knit, collaborative Compliance team with an established SEC-registered investment adviser motivated to focus exclusively on the best interests of their clients. Primary responsibilities may include the following, among others:
Responsibilities
• Quickly become a proficient in the firm’s compliance systems
• Collect and analyze data from internal systems to assist with compliance program reviews
• Provide guidance to marketing professionals, business lines, and others in the firm regarding assorted compliance policy & procedures
• Help the Compliance Senior Director implement, maintain, and enhance compliance controls and programs to support business objectives, growth, and innovation
• Assist in the management of regulatory books and records
• Meet day-to-day workflow, including ad hoc requests/matters that arise
• Support the Compliance Senior Director and CCO during SEC regulatory exams
• Some travel required
Qualifications
Minimum Qualifications:
• Bachelor’s degree
• 6-8 years of experience working at an investment advisory firm with direct exposure to compliance
• Working knowledge of the U.S. Securities and Exchange Commission’s Investment Advisers Act of 1940 and an investment advisory firm’s requirements
Desired Qualifications/Skills:
• Advanced Excel skills and proficiency in MS Office & Microsoft 365 (Word, PowerPoint, Outlook, SharePoint, Teams)
• Ability to work both independently and in a team environment; proactive and can independently carry out projects to their completion
• Experience with Schwab Compliance Technologies® or MyComplianceOffice or other compliance management systems
• Exposure to one or more Investment Adviser portfolio management and/or trading systems (e.g., Advent/Axys, Schwab PortfolioCenter, Black Diamond, Charles River)
• IACCP or CSCP certified, or candidate, a plus
WHAT can you expect from your career at CAPTRUST?
Our colleagues, like our clients, tend to stay with CAPTRUST for years. There's a reason for it; it's a great culture in which to work and grow. We all work together, each of us motivating those around us with our commitment to high standards. At CAPTRUST, expect a fully stocked break room, fun employee events, and a quality team surrounding you with opportunities for personal growth.
Our Employee Benefits Package shows how much we value our team. Some benefits include:
• Employee ownership opportunities
• Brick Bonus success sharing program
• Comprehensive health coverage Virgin Pulse wellness platform
• 401(k) program with a 5% employer match financial planning for colleagues
WHERE will you be working?
4208 Six Forks Rd #1700 | Raleigh, NC 27609
40 Wall St 56th Floor | New York, NY 10005
700 N St Mary's St #100 | San Antonio, TX 78205
OR
Any CAPTRUST Office
HOW do we build a world class organization one brick at a time?
We make it a priority to hire those who have a commitment to service, a real interest in other people, and a passion to continuously improve. Simply put: the difference at CAPTRUST is the quality of our people and depth of our bench. If you are ready to make your mark, we want to talk to you.
Are you the next brick?
To get it done the CAPTRUST Way, an individual should exhibit the following characteristics:
• Ability to build successful, collaborative, and trusting relationships
• Instinctive aptitude for consistently creating accurate, concise, respectful, and easy-to-understand verbal and written communications conveying complex information
• A strong sense of urgency about getting work done and solving problems to achieve results that benefit our clients and colleagues, even when faced with challenges
• Inherent desire to give back to our communities and enrich the lives of those around us
• An other-centered mindset
• Integrity through maintaining objectivity
EEO/Diversity Statement:
At CAPTRUST, we are committed to building and maintaining a diverse workforce and inclusive work environment where ALL colleagues feel authentically seen, respected, and supported.
CAPTRUST is committed to providing employment opportunities without regard to race, color, age, sex, sexual orientation, familial status, religious creed, national origin, ancestry, medical condition, marital status and registered domestic partner status, citizenship status, military and veteran status, disability, protected medical condition, genetic information, or any other status protected by law. CAPTRUST makes all employment decisions without regard to these protected statuses and does not tolerate harassment or discrimination. #mid-senior Show more details...
WHO are we looking for...
We are looking for a Senior Compliance Analyst to join our Compliance Team. You will work with the Senior Director of Compliance to help maintain and implement the compliance program and drive adherence with applicable laws, regulations, and regulatory guidance, specifically with respect to advisory support of marketing and business lines.
Our ideal candidate has a strong working knowledge about the compliance responsibilities of SEC-registered RIAs, including the requirements applicable to marketing materials and the development of policies and controls. The candidate must maintain the highest professional and ethical standards, be well-organized, and capable of performing under tight deadlines. The individual needs to be self-motivated to research and enhance their understanding of applicable 1940 Investment Advisers Act rules and best practices. In addition to collaborating with and providing compliance-related guidance to individuals in other areas of the firm, the candidate will assist with training and supporting others within the Compliance group. The ideal candidate is eager to continue developing their career in IA Compliance and would like to grow in a tight-knit, collaborative Compliance team with an established SEC-registered investment adviser motivated to focus exclusively on the best interests of their clients. Primary responsibilities may include the following, among others:
Responsibilities
• Quickly become a proficient in the firm’s compliance systems
• Collect and analyze data from internal systems to assist with compliance program reviews
• Provide guidance to marketing professionals, business lines, and others in the firm regarding assorted compliance policy & procedures
• Help the Compliance Senior Director implement, maintain, and enhance compliance controls and programs to support business objectives, growth, and innovation
• Assist in the management of regulatory books and records
• Meet day-to-day workflow, including ad hoc requests/matters that arise
• Support the Compliance Senior Director and CCO during SEC regulatory exams
• Some travel required
Qualifications
Minimum Qualifications:
• Bachelor’s degree
• 6-8 years of experience working at an investment advisory firm with direct exposure to compliance
• Working knowledge of the U.S. Securities and Exchange Commission’s Investment Advisers Act of 1940 and an investment advisory firm’s requirements
Desired Qualifications/Skills:
• Advanced Excel skills and proficiency in MS Office & Microsoft 365 (Word, PowerPoint, Outlook, SharePoint, Teams)
• Ability to work both independently and in a team environment; proactive and can independently carry out projects to their completion
• Experience with Schwab Compliance Technologies® or MyComplianceOffice or other compliance management systems
• Exposure to one or more Investment Adviser portfolio management and/or trading systems (e.g., Advent/Axys, Schwab PortfolioCenter, Black Diamond, Charles River)
• IACCP or CSCP certified, or candidate, a plus
WHAT can you expect from your career at CAPTRUST?
Our colleagues, like our clients, tend to stay with CAPTRUST for years. There's a reason for it; it's a great culture in which to work and grow. We all work together, each of us motivating those around us with our commitment to high standards. At CAPTRUST, expect a fully stocked break room, fun employee events, and a quality team surrounding you with opportunities for personal growth.
Our Employee Benefits Package shows how much we value our team. Some benefits include:
• Employee ownership opportunities
• Brick Bonus success sharing program
• Comprehensive health coverage Virgin Pulse wellness platform
• 401(k) program with a 5% employer match financial planning for colleagues
WHERE will you be working?
4208 Six Forks Rd #1700 | Raleigh, NC 27609
40 Wall St 56th Floor | New York, NY 10005
700 N St Mary's St #100 | San Antonio, TX 78205
OR
Any CAPTRUST Office
HOW do we build a world class organization one brick at a time?
We make it a priority to hire those who have a commitment to service, a real interest in other people, and a passion to continuously improve. Simply put: the difference at CAPTRUST is the quality of our people and depth of our bench. If you are ready to make your mark, we want to talk to you.
Are you the next brick?
To get it done the CAPTRUST Way, an individual should exhibit the following characteristics:
• Ability to build successful, collaborative, and trusting relationships
• Instinctive aptitude for consistently creating accurate, concise, respectful, and easy-to-understand verbal and written communications conveying complex information
• A strong sense of urgency about getting work done and solving problems to achieve results that benefit our clients and colleagues, even when faced with challenges
• Inherent desire to give back to our communities and enrich the lives of those around us
• An other-centered mindset
• Integrity through maintaining objectivity
EEO/Diversity Statement:
At CAPTRUST, we are committed to building and maintaining a diverse workforce and inclusive work environment where ALL colleagues feel authentically seen, respected, and supported.
CAPTRUST is committed to providing employment opportunities without regard to race, color, age, sex, sexual orientation, familial status, religious creed, national origin, ancestry, medical condition, marital status and registered domestic partner status, citizenship status, military and veteran status, disability, protected medical condition, genetic information, or any other status protected by law. CAPTRUST makes all employment decisions without regard to these protected statuses and does not tolerate harassment or discrimination. #mid-senior Show more details...
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