Overview

Our Client a well-regarded Wealth Management firm is looking for a Compliance Analyst to join their team. In this role you will work closely with The Senior Compliance Analyst and Director of Compliance in handling the documentation requirements of client accounts and company funds of a $2B Private Wealth Manager.
Responsibilities include coordination and completion of subscription documents and additional information requests from prospective investment managers. Coordination of client onboarding documentation as well as subsequent account maintenance for all clients with respective custodians. Data aggregation for annual ADV filings, as well as Form D, 13F and other SEC regulatory required filings. Solely responsible for the maintenance and upkeep of the client database which houses all pertinent client account details which is necessary for Operations.

Qualified applicants will have a BA/BS degree in Business, Accounting or Finance and at least one year of relevant experience. Individuals need to be driven, able to work in a team environment, handle pressure and deadlines well, and have strong communication and interpersonal skills and a keen attention to detail. Multi-tasking and work prioritization are a must. Advanced computer skills; Excel/Word/Adobe Acrobat / Microsoft ACCESS required. Experience with legal contracts and/or documentation is a plus. Spanish-speaking is a plus but not required.

ROLE AND RESPONSIBILITIES
• Coordination and completion of subscription documents and additional information requests from prospective investment managers
• Handling the documentation requirements of client accounts
• Assist Director of Compliance and Senior Compliance Analyst on an as needed basis for special projects
• Provide administrative support as needed
• Communication with clients regarding subscription, redemption, account documentation, etc.
• Database maintenance
• Assistance with SEC regulatory filings
QUALIFICATIONS AND EDUCATION
1-3 years of relevant experience required
BA/BS Degree is required
SKILLS
MS Office: Word, Excel and PowerPoint, ACCESS
Bilingual (English/Spanish) fluent- a plus not required

Please send resumes to Heather Johnson – Heather@ComplianceSearch.com

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