Senior Compliance Analyst

Deerpath Capital Management • Boston, MA

5d

About The Position

This position will assist in the management of the compliance programs’ policies, reporting and practices for Deerpath. Under the direction of the Compliance Director, the Compliance Associate will be responsible for applying compliance policies and procedures to business practices, documenting the assessment, testing of supervisory controls, fostering compliance related initiatives, maintaining policies and procedures, monitoring and creating controls.

Requirements

• Bachelor’s degree in business, finance, accounting, statistics, economics, international relations/business, or related field
• 2-5 years’ experience working in compliance, regulatory or financial services roles
• Understanding of industry processes and existing business regulations preferred
• Strong problem solving and data analytical skills
• Team oriented, positive attitude and goal driven
• Commitment to accuracy and quality
• Excellent organizational, operations, and process management skills
• Strong research and analytical skills

Nice To Haves

• Private debt/equity, hedge fund and registered investment advisor experience a plus
• Fund Compliance, Cybersecurity, AML/KYC and Marketing Materials review experience a plus
• Previous customer/client service experience preferred
• Ability to handle multiple tasks and properties simultaneously

Responsibilities

• Assist the Compliance Director with the firm’s Compliance Program which consists of SEC compliance, State specific compliance and compliance in international jurisdictions
• Review and apply company’s compliance policies outlined in the Code of Ethics, Compliance Manual, AML/KYC policy and other policy documents
• Monitor and create control systems to test internal policies, document results and recommend effective enhancements
• Create and maintain reports, logs, and organized records
• Participate in administrating compliance training to new employees
• Provide compliance support to the company and stakeholders
• Assist with Compliance Program in general

Benefits

• competitive bonus

What This Job Offers

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