Kennedy Capital
Kennedy Capital Management LLC (KCM) is a St. Louis-based boutique investment firm focused on small and mid-cap domestic equity markets for more than 40 years. We are seeking to add a Compliance Analyst to our onsite team.
Position Summary
The Compliance Analyst contributes to the ongoing development of KCM's compliance and risk management program, providing day-to-day compliance function support.
Essential Functions
Conduct daily trade surveillance and investigate exceptions. Analyze client guidelines to implement and monitor investment restrictions. Create and maintain internal and client restricted security lists. Enforce and monitor the firm's Code of Ethics requirements, reporting and approval of personal trades. Create and administer routine and periodic employee attestations. Conduct trend analysis and assist in the development and updating of surveillance routines and the production of reports. Monitor and prepare regulatory filings. Review the firm's marketing related materials and communication. Manage and work with custodians to establish broker-feeds related to employee personal securities trading accounts. Answer employee questions, assist w/employee compliance training and in creation of compliance records. Preferred Qualifications and Skills
Requires a bachelor's degree preferably in Finance, Business or Accounting; Must have a minimum of two (2) years of relevant financial services industry experience. Must possess an understanding of the Investment Advisors Act of 1940 and the Investment Company Act of 1940. Strong verbal and written communication skills, with excellent attention to detail and accuracy. Proficiency in Microsoft Office package, ability to quickly gain proficiency in KCM's internal processing systems such as Advent APX and Ridgeline; Ability to work onsite in our St. Louis MO office. We Offer
Excellent benefits package, compensation with bonus, and generous time off. Optional work remote one day per week. A fun, flexible and supportive work environment with opportunities for growth and development.
Kennedy Capital Management LLC is an Equal Opportunity Employer.
Position Summary
The Compliance Analyst contributes to the ongoing development of KCM's compliance and risk management program, providing day-to-day compliance function support.
Essential Functions
Conduct daily trade surveillance and investigate exceptions. Analyze client guidelines to implement and monitor investment restrictions. Create and maintain internal and client restricted security lists. Enforce and monitor the firm's Code of Ethics requirements, reporting and approval of personal trades. Create and administer routine and periodic employee attestations. Conduct trend analysis and assist in the development and updating of surveillance routines and the production of reports. Monitor and prepare regulatory filings. Review the firm's marketing related materials and communication. Manage and work with custodians to establish broker-feeds related to employee personal securities trading accounts. Answer employee questions, assist w/employee compliance training and in creation of compliance records. Preferred Qualifications and Skills
Requires a bachelor's degree preferably in Finance, Business or Accounting; Must have a minimum of two (2) years of relevant financial services industry experience. Must possess an understanding of the Investment Advisors Act of 1940 and the Investment Company Act of 1940. Strong verbal and written communication skills, with excellent attention to detail and accuracy. Proficiency in Microsoft Office package, ability to quickly gain proficiency in KCM's internal processing systems such as Advent APX and Ridgeline; Ability to work onsite in our St. Louis MO office. We Offer
Excellent benefits package, compensation with bonus, and generous time off. Optional work remote one day per week. A fun, flexible and supportive work environment with opportunities for growth and development.
Kennedy Capital Management LLC is an Equal Opportunity Employer.