Compliance
Leading Asset Manager/Investment Adviser seeking a Compliance/Operations Analyst to join their seasoned team. The ideal candidate will have a minimum of 2 years of relevant compliance or operational experience within a financial services environment, with exposure to trading operations and industry applications. Position will play a crucial role in maintaining the integrity and ethical standards of the organization, as well as mitigating risks, and contributing to a positive culture of compliance and operations.This is a wonderful opportunity for a hardworking resolute professional to join a high-performing team at a well-established boutique firm. Position is remote work, with anticipated travel to NYC or FL for company meetings approximately once a month based on business need. Person must reside in FL, NY, NJ, CT or MA.Responsibilities include, but limited to:Assist Chief Compliance Officer and other department heads in managing day-to-day operations/participate in inter-departmental projects/provide support as needed.Assist in maintaining, updating, and assessing the Compliance Calendar/Matrix (internal compliance data tracking system) as well as managing personal trading surveillance, processing pre-clearance requests, personal account disclosures, gifts and entertainment approvals, and employee certifications - knowledge of MyComplianceOffice software application a plus.Assist in resolving trading issues, loading trading data from electronic feeds and websites; perform ad hoc trade reporting and analysis - knowledge of Indata-iPM Order Management System (OMS) a plus.Consult and assist senior management with investigation protocols and procedures, including follow-ups, resolution plans, and corrective measures as well as the preparation of Quarterly, Annual and Ad Hoc Board Reporting.Contribute to the planning and development of compliance program by tracking regulatory changes and conducting research on specific policies.Assist in delivering training to staff on compliance, AML and cybersecurity requirementsAssist in conducting due diligence reviews of mission critical vendors/third parties/ work with/support independent consultants and mission critical service providers.Assist in supporting Fund and Separated Managed Accounts (SMAs) trading including the management of the Schwab Alliance portal and its applications.Support the review of marketing materials and conduct data collection/analysis.
