A fast-growing private equity and alternative investments firm seeks a Compliance professional.
The Compliance Analyst will provide compliance support for the Company’s SEC registered investment advisor (“RIA”) and its FCA regulated UK financial services advisor (“FCA”).
- Assist with maintaining compliance with laws and regulations applicable to RIAs and FCA regulated entities;
- Prepare annual filings of Form ADV, Part 2a of Form ADV and Form PF;
- Maintain RIA and FCA policy and procedures manuals, disaster recovery plan and business continuity plan;
- Test RIA and FCA compliance manual policies and procedures and develop new policy and procedures as necessary;
- Maintain restricted company list, employee outside activities list, political contributions log and gift/entertainment log;
- Monitor employee brokerage accounts;
- Conduct email reviews;
- Assist in compliance training for employees;
- Assist with cybersecurity monitoring; and
- Other duties and responsibilities as may be defined from time to time.
- Bachelor’s degree
- Minimum of 4 years of relevant RIA and FCA regulatory compliance experience
- Proficient with Excel, Word, Powerpoint and Outlook
- Experience with ComplySci (f/k/a Compliance Science) & Smarsh
- Strong written communication skills and effective oral communications
- Must be detail conscious and able to work in a multi-tasking environment
- Ability to interact well with a variety of people
- Self starter, ability to work independently
- High level of discretion and ability to maintain a strict degree of confidentiality with all company matters
Please email resumes to Jack Kelly at Jack@ComplianceSearch.com.