Compliance Analyst

Rockefeller Capital Management • New York, NY

7h

About The Position

The Compliance Analyst will support the Rockefeller Global Investment Management’s Compliance program, with a focus on testing and monitoring. Responsibilities will also include the development of sustainable controls where control weaknesses are identified during testing. Participation in the firm’s CRA and RCSA processes.

Requirements

• Bachelor’s degree required
• 1-2 years of relevant experience in compliance, internal audit, risk management, or a consulting environment
• Prior experience supporting compliance testing, internal audit or advisory work
• Demonstrated compliance, supervision or legal experience at a broker-dealer or registered investment advisor required; knowledge of complex products is a plus
• Solid understanding of the securities industry, from a regulatory, compliance, operations and corporate governance perspective
• Working knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940
• Proficiency in Microsoft’s software ecosystem including Outlook, Word, Excel, PowerPoint and Copilot

Nice To Haves

• knowledge of complex products is a plus
• Experience with compliance or order management systems such as Bloomberg AIM or Investortools Perform is a plus

Responsibilities

• Contribute to the development and execution of the annual Compliance testing plan
• Maintain comprehensive and well-organized testing documentation in accordance with Firm standards
• Prepare clear, concise reports summarizing testing results, key risks identified, and recommended remediation actions
• Support the development, documentation, and tracking of corrective action plans for issues identified through compliance testing
• Partner with Technology teams to support process enhancements and the automation of compliance monitoring and surveillance activities
• Assist with the preparation and distribution of monthly compliance reports and key risk metrics
• Support regulatory filings activities, including Form ADV, Form PF, and Schedules 13D/G, 13F and 13H
• Provide ongoing support to the Portfolio Compliance team, including assistance with due diligence questionnaires (DDQs), compliance certifications, and other ad hoc compliance initiatives

Benefits

• health coverage
• vacation time
• paid leave
• retirement plan

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Number of Employees: 501-1,000 employees