Managed Services Compliance Analyst

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COMPLY

πŸ’΅ $55k-$65k
πŸ“Remote - United States

Job highlights

Summary

Join COMPLY's growing team as a Managed Services Compliance Analyst! Reporting to the Compliance Manager, you will assist financial services firm customers with various compliance and regulatory matters. This role requires strong analytical and problem-solving skills, excellent communication, and proficiency in Microsoft Office Suite. Experience with the ComplySci platform is a plus. COMPLY offers comprehensive benefits, unlimited PTO, paid bonding leave, and 100% remote work flexibility with a WFH stipend. The ideal candidate is motivated, detail-oriented, and passionate about delivering high-quality client services.

Requirements

  • Skilled in problem solving and analytical thinking
  • Ability to multitask in performing complex responsibilities across multiple projects
  • Excellent interpersonal skills, with the ability to manage relationships with stakeholders at all levels
  • Proficient in Microsoft Office Suite (e.g., Excel, Word, Outlook)
  • Ability to work effectively and flexibly within a client service-oriented, collaborative environment
  • Exceptional organizational and time management skills

Responsibilities

  • Review customer marketing materials for consistency with applicable SEC or state regulatory requirements
  • Perform trade statement analysis to identify violations of customer trading restrictions
  • Help administer customer code of ethics requirements via ComplySci platform, including: Employee onboarding and offboarding assistance
  • Help administer customer code of ethics requirements via ComplySci platform, including: Certification and Attestation management by assisting with creation and editing of certifications
  • Help administer customer code of ethics requirements via ComplySci platform, including: Employee Personal Trading system maintenance and by adding requested new accounts, reviewing preclearance request exception reports, and quarterly reporting
  • Help administer customer code of ethics requirements via ComplySci platform, including: Gifts and Entertainment maintenance and administration by reviewing submissions and reporting findings
  • Help administer customer code of ethics requirements via ComplySci platform, including: Outside Business Activities maintenance and administration by reviewing submissions and reporting findings
  • Help administer customer code of ethics requirements via ComplySci platform, including: Private Placements administration reviews by reviewing submissions and reporting findings
  • Help administer customer code of ethics requirements via ComplySci platform, including: List maintenance (restricted, auto-approve, etc.) by adding and removing securities from lists based on customer’s specific update items
  • Help administer customer code of ethics requirements via ComplySci platform, including: Standard report creation and maintenance by preparing standard out-of-the-box reports from ComplySci
  • Review customer political contributions submissions via illumis platform and report any findings
  • Review customer emails using a combination of keyword flags and random sampling to identify potential issues
  • Assist with various regulatory filing processes, such as Form 13F
  • Assist Managed Services team with various other tasks

Preferred Qualifications

  • Understanding of the ComplySci platform is a plus
  • Experience with Salesforce (or other CRM systems), SaaS technology, Python, SEQUEL software support is a plus

Benefits

  • Comprehensive benefits
  • Unlimited PTO
  • Paid bonding leave
  • 100% remote work flexibility with a WFH stipend

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