Full Time Compliance Analyst
Core Compliance & Legal Services, Inc.℠ specializes in investment adviser compliance and risk management for the financial industry. We are seeking a Compliance Analyst who has passion for learning and growing in this dynamic industry in a fast paced environment with upward opportunities.
The position supports Core Compliance’s consultation team in servicing its clients and reports to Tito Pombra, President.
The Compliance Analyst will be a key team player responsible for servicing our compliance consultation clients, which include investment advisers, hedge fund, private equity firms, broker-dealers and insurance companies. The Compliance Analyst should have at least three (3) years of regulatory compliance experience within the financial industry. This qualified candidate will be responsible for assisting with:
The Compliance Analyst will assist with the following:
- Prepare Form ADV, Form PF, 13 F & 13 G filings and regulatory filings
- Review marketing materials for compliance with applicable rules and regulations
- Conduct email and personal trading reviews
- Policy and procedure development and maintenance
- Registration and licensing of firms and individuals
- Perform additional tasks and projects, as assigned
- Bachelor's degree or above
- 3-5 years of compliance experience at a financial services firm
- Excellent verbal and written communication skills
- Personable, reliable self-starter and team player
- Proficiency with computers including Microsoft Word, Excel, and Outlook
- Strong attention to detail with a pro-active approach to problem solving
- Ability to work under pressure/deadlines and manage multiple priorities
- Ability to interface effectively with clients and team members
- Dependent on experience
- Core Compliance offers an excellent salary and benefits package
- Position advancement opportunities are made available
Candidate will need to travel about 10% of the time.