Compliance Analyst
The Compliance Analyst is responsible for assisting the Compliance Manager in ensuring the firm complies with applicable regulatory requirements. The Compliance Officer also plays a vital role in collaborating with the Compliance Manager on initiatives that drive new efficiencies to deliver top-notch client service and reduction of risk. This individual will serve as the primary day-to-day compliance partner to the firm's marketing team and management of the firm's code of ethics.
Responsibilities:
• Interpret, advise, administer, and monitor the Firm's Code of Ethics for personal trading along with all required employee reporting requirements
• Review the firm's marketing campaigns (presentations, market commentaries, RFP responses, marketing-related website content, and ad hoc marketing pieces) to ascertain compliance with all regulatory requirements. Provide a timely and accurate response including regulatory basis for requested changes and recommend alternatives to ensure content is compliant.
• Work with business teams on implementing regulatory changes that impact marketing
• Assist with electronic communication reviews
• Support Compliance Manager by conducting compliance testing on the firm's policies and procedures
• Assist with the preparation and submission of regulatory filings and disclosure documents
• Provide support for internal and external audits and examinations
• Conduct oversight and due diligence on critical vendors
• Assist with the revision of policies and procedures
• Assist with annual and ad hoc compliance training
• Performs other compliance duties as required by the Compliance Manager
