Compliance Analyst
WTW•Chicago, IL
•$80,000 - $95,000
About The Position
WTW is seeking a motivated and detail-oriented Compliance Analyst to join its North America Investments Compliance team. This role provides an opportunity to gain broad exposure to investment adviser compliance while supporting day-to-day compliance operations, regulatory requirements, and strategic business initiatives. The successful candidate will work closely with Compliance, Legal, Investments, Marketing, Risk, Human Resources, and other business stakeholders to help maintain an effective and risk-based compliance program.
Requirements
- Motivated and detail-oriented
- Interest in developing practical compliance expertise
- Ability to support a growing investment advisory business
- Ability to work closely with Compliance, Legal, Investments, Marketing, Risk, Human Resources, and other business stakeholders
- Ability to help maintain an effective and risk-based compliance program
Responsibilities
- Conduct surveillance and review of employee electronic communications, including email and other approved business communications.
- Support administration of the firm's Code of Ethics program, including personal trading reviews, employee certifications, outside business activities, private investments, gifts and entertainment, and other employee disclosures.
- Review marketing materials, client communications, presentations, and other business communications for compliance with regulatory requirements and internal policies.
- Assist with compliance monitoring, testing, surveillance, and annual compliance review activities.
- Support regulatory filings, certifications, and recurring compliance obligations.
- Maintain compliance policies, procedures, logs, and supporting documentation.
- Respond to compliance inquiries and escalate matters as appropriate.
- Assist with compliance reporting, metrics, and management information.
- Support compliance training and employee attestation programs.
- Monitor regulatory developments and assist with implementation of regulatory changes.
- Participate in compliance technology initiatives, workflow enhancements, process improvements, and special projects.
- Assist with compliance support for business initiatives, new products, acquisitions, and integrations.
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
Education Level
No Education Listed
