Senior Compliance Analyst

Ultimus • Hauppauge, NY

2d

About The Position

The Senior Compliance Analyst is responsible for assisting the Chief Compliance Officer and AVP, Compliance Officer in the oversight, investigation, documenting and resolving of compliance matters from a due diligence, risk, and regulatory standpoint as it pertains to Ultimus Fund Solutions (UFS). This role involves conducting and coordinating compliance testing, supporting the administration of the UFS Compliance Program and Enterprise Risk Management Program, and coordinating the due diligence oversight process of third parties. The Senior Compliance Analyst will also mentor associates, present findings to committees, and assist with regulatory examinations and audits.

Requirements

• Bachelor’s degree in business administration or related field.
• 5+ years of related compliance experience.
• Experience working in Financial Services industry.
• Experience with third party due diligence oversight.
• Knowledge of SEC and FINRA rules and regulations.
• Proficiency in Microsoft Office Suite.
• Proficiency in Adobe Acrobat.

Nice To Haves

• Equivalent education and experience will be considered.

Responsibilities

• Conducts and coordinates compliance testing of UFS policies and procedures.
• Cross-trains compliance testing initiatives to fellow associates.
• Assists Chief Compliance Officer and control owners in evaluating key risk indicators.
• Assists in updating UFS Compliance Manual, as required, by suggesting edits based on results of recent compliance testing.
• Supports administration of UFS Compliance Program, including the UFS Enterprise Risk Management Program.
• Coordinates due diligence oversight process of third parties, including prospective clients and vendors through Venminder dashboard.
• Prepares and reports routine third party due diligence summaries.
• Assists with monitoring adherence to UFS Policies and Procedures.
• Escalates issues of concern immediately to Chief Compliance Officer.
• Presents compliance testing results and recommendations to UFS Pricing Committee and UFS Compliance Committee.
• Assists with preparation for regulatory examinations and audits; provides support during examinations and audits.
• Mentors associates through instruction, coaching, providing real-time on-the-job experiences, modeling effective practices, and advising on methods used.
• May perform other duties as required and assigned.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior