Managed Services Compliance Analyst
COMPLY
π΅ $55k-$65k
πRemote - United States
Please let COMPLY know you found this job on JobsCollider. Thanks! π
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 customerβs 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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Please let COMPLY know you found this job on JobsCollider. Thanks! π