Compliance Analyst

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Key Responsibilities:

The review function will involve contacting employees to obtain required documents maintaining records of the review and following up with senior level employees for complex situations as needed.
Will review compliance systems and perform reconciliation and analysis of reported data/documentation.
Provide training and lead special projects which at times will not have a set process.
Prepare and review various draft reports such as board reports, regulatory reports etc. and share with the relevant Compliance team for signoff.
Enter complex information with high levels of accuracy into various systems used by Compliance and perform reviews/reconciliations with limited oversight. Those in the monitoring/reporting function will assist Compliance Officers/team with reporting requirements - often working on requirements that may not have a set process.
The role may also create an initial response to documentation -Ex. RFPs, general reports, which will require pulling information from multiple sources.
Those performing the review function will enter/update information in Compliance systems, auditing or reconcile system data and assisting with correcting errors or resolving exceptions which may not have a set process.
Regulatory Fillings -Ex. Form ADV

Role Proficiencies:

Strong attention to detail and analytical skills
Ability to adhere/respond to established time frames and schedules.
Ability to maintain confidentiality.
Excellent verbal and written communication skills
Strong knowledge of financial instruments (equities, bonds, mutual funds, and other derivative products).
Ability To Perform Multiple Tasks and Work Under Strict Deadlines
Claritas Investment Certificate preferable
Strong knowledge of Microsoft Tools
Assist with Special Projects as assigned.