Role OverviewReporting to the Chief Compliance Officer, this role will conduct compliance monitoring, testing, risk assessments, regulatory reporting, and examination support. The Senior Compliance Analyst will collaborate across the organization to ensure policies, disclosures, and business practices meet regulatory requirements and industry standards.
What You Will Do
Conduct regular compliance testing on personal trust, estate, and agency accounts against governing instruments and fiduciary standards. Support SEC and state regulatory examinations, communications, information requests, and remediation activities.
Why It Might Be a Fit
The ideal candidate will have five or more years of relevant compliance, regulatory, audit, risk, securities, investment advisory, registered fund, trust, or financial-services experience, and experience supporting regulatory examinations and interacting with federal or state regulators.
Requirements
- Bachelor’s degree in business, finance, accounting, law, risk management, or a related field
- Five or more years of relevant compliance, regulatory, audit, risk, securities, investment advisory, registered fund, trust, or financial-services experience
- Experience supporting regulatory examinations and interacting with federal or state regulators
- Knowledge of regulations governing investment advisers, registered investment companies, trust companies, or wealth management organizations
- Experience with compliance testing, risk assessments, regulatory filings, policies and procedures, or issue remediation
- Strong analytical, research, communication, organizational, and documentation skills
- Ability to manage multiple priorities, exercise sound judgment, protect confidential information, and collaborate across the organization
- Proficiency with Microsoft Office and compliance, document-management, or regulatory-filing systems
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