Managed Services Compliance Analyst

Comply

7d • $55,000 - $66,000

About The Position

Comply is seeking a Managed Services Analyst to join our growing team. Reporting to the Director of Managed Services, the Managed Services Analyst is responsible for reviewing e-communications and marketing materials, performing trade statement analysis, executing regulatory filings, and completing other regulatory compliance tasks for financial services clients.

Requirements

• Skilled in problem solving and analytical thinking.
• Ability to multitask in performing complex responsibilities across multiple projects.
• Excellent interpersonal skills, with the ability to manage relationships with various stakeholders.
• Proficient in Microsoft Office Suite (e.g., Excel, Word, Outlook).
• Ability to work effectively and flexibly within a client service-oriented, collaborative environment.
• Exceptional organizational and time management skills.

Nice To Haves

• Understanding of the ComplySci platform is a plus.
• Experience with Salesforce (or other CRM systems), SaaS technology, Python, SEQUEL software support is a plus.
• Familiarity with SEC and/or state Marketing rule requirements for Registered Investment Advisers (RIAs) is a plus.

Responsibilities

• Review client emails using a combination of keyword flags and random sampling to identify potential issues.
• Assist with various regulatory filing processes, such as Form 13F.
• Review client marketing materials for consistency with applicable SEC or state regulatory requirements.
• Perform trade statement analysis to identify violations of client trading restrictions.
• Help administer client code of ethics requirements via Comply platform, including:
• Employee onboarding and offboarding assistance.
• Certification and Attestation management by assisting with creation and editing of certifications.
• Employee Personal Trading system maintenance by adding requested new accounts, reviewing preclearance request exception reports, and quarterly reporting.
• Gifts and Entertainment maintenance and administration by reviewing submissions and reporting findings.
• Outside Business Activities maintenance and administration by reviewing submissions and reporting findings.
• List maintenance (restricted, auto-approve, etc.) by adding and removing securities from lists based on client’s specific update items.
• Standard report creation and maintenance by preparing standard out-of-the-box reports from Comply.
• Review client political contributions submissions via Comply’s Illumis platform and report any findings.
• Assist Managed Services team with various other tasks.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Education Level: No Education Listed