Overview

A fast-growing private equity and alternative investments firm seeks a Compliance professional.

 

Job Description:

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”).

 

Responsibilities

  • 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.

 

Qualifications

  • 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.

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