Compliance Analyst
About The Position
The Compliance Analyst will report to the Compliance Manager, with indirect reporting to the Chief Compliance Officer (“CCO”), and will support the execution and ongoing enhancement of the firm’s compliance program. Compliance matters include regulatory compliance (as TA Realty is a registered investment adviser (“RIA”) with the Securities and Exchange Commission (“SEC”)), internal policy and procedures, corporate governance and risk management. The Compliance Analyst role involves close collaboration with the compliance team members and cross-functional partners across Investor Relations, Accounting, Technology and Operations.
Requirements
- Bachelor’s Degree in a related field required, with demonstrated strong academic performance and extracurricular involvement
- One to three years of compliance, audit, legal or related experience
- Highly organized with strong attention to detail
- Excellent verbal and written communication skills
- Strong project management skills with ability to manage multiple and sometimes conflicting demands with short deadlines
- Excellent interpersonal skills with a collaborative work style; extremely flexible, adaptable, a self-starter with the ability to work individually and in a team environment
- Demonstrates intellectual curiosity and sound professional skepticism
- Ability to communicate clearly with persons at all levels of the firm (including senior management) on sensitive matters and handle confidential information discreetly
- Ability to identify, thoroughly investigate and report on various compliance-related matters and determine/recommend an appropriate corrective course of action (with appropriate input from the Compliance Manager or CCO)
- Proactive management skills and the ability to manage projects independently and to conclusion
Nice To Haves
- Compliance, legal and/or public accounting background preferred
- Familiarity with/working knowledge of the Investment Advisers Act of 1940
- Regulatory environment experience (SEC, FINRA, CFTC/NFA and ERISA) a plus
- Private equity fund compliance a plus
Responsibilities
- Support the development, implementation, ongoing enhancement and monitoring of compliance policies and procedures to ensure regulatory alignment
- Coordinate with internal teams throughout the firm to enhance current compliance procedures
- Assist in developing and conducting firmwide training pertaining to the policies and procedures
- Perform compliance reviews and testing procedures as directed by the Compliance Manager and/or CCO
- Foster a corporate culture of compliance
- Assist with regulatory filings and requests (e.g. Form ADV, Form PF, Form SHL, Form SLT, etc.)
- Monitor regulatory developments and assess impact on the firm
- Review compliance-related ‘alerts’ from TA Realty’s legal counsel and industry resources and communicate relevant information to the Compliance Team
- Support administration of the Firm’s compliance software (Comply) including periodic certifications and monitoring of personal trading monitoring, gifts and entertainment, outside business activity, political contributions, etc.
- Maintain the Firm’s side letter management platform (Ontra Insights)
- Monitor new hire onboarding and departing employee offboarding requirements to ensure completion
- Assist with internal audit (JSOX) requests from TA Realty’s parent company
- Assist the CCO or Compliance Manager with additional duties, including regulatory research and ad hoc compliance projects
Stand Out From the Crowd
Upload your resume and get instant feedback on how well it matches this job.
What This Job Offers
Job Type
Full-time
Career Level
Entry Level
