Compliance Analyst

Tx Hq•San Antonio, TX

6d•Onsite

About The Position

You will be a member of a centralized team that has responsibility for the development, assessment and monitoring of the compliance program of a Registered Investment Adviser, affiliated Mutual Funds, and Broker-Dealer. You will report to a Senior Compliance Officer.

Requirements

A Bachelor’s degree and 1+ years of experience working in a compliance, audit, testing, or similar function at a large financial services firm
Demonstrated ability to manage shifting priorities
Strong verbal and written communication skills
Proficient with computer software typically used in an office environment, such as Microsoft Word, Excel, PowerPoint, Adobe Acrobat Professional, or similar programs

Nice To Haves

Basic knowledge of Investment Advisers Act, Investment Company Act, FINRA rules and/or SEC regulations preferred, but not required
Desire to pursue FINRA Series 7 and 24 licenses preferred, but not required
CAMS, CFE or other similar advanced designation preferred, but not required

Responsibilities

Work under the supervision of one or more compliance officers on a variety of compliance program tasks and projects, which may include marketing review, Code of Ethics monitoring, testing, policy research and updates, internal email surveillance, vendor oversight, and others as business needs may dictate.
Review reports and alerts and conduct other monitoring activities related to the Anti-Money Laundering (AML) Program and Customer Identification Program (CIP) of the Broker-Dealer, Investment Adviser, and affiliated Mutual Funds.
Interact with operational counterparts to resolve CIP issues on new account applications.
Assist the AML Compliance Officer with investigations, preparing SAR filings, and other AML program tasks as needed.
Support programs by identifying compliance risks and collaborating with compliance officers to develop resolutions to manage these risks.
Develop knowledge regarding anti-money laundering, marketing materials and sales programs, product development, communications review and other compliance program subjects.