NFP
The Compliance Analyst is responsible for assisting the Compliance Manager in ensuring the firm complies with applicable regulatory requirements. The Compliance Officer also plays a vital role in collaborating with the Compliance Manager on initiatives that drive new efficiencies to deliver top-notch client service and reduction of risk. This individual will serve as the primary day-to-day compliance partner to the firm’s marketing team and management of the firm’s code of ethics.
Responsibilities
Interpret, advise, administer, and monitor the Firm’s Code of Ethics for personal trading along with all required employee reporting requirements
Review the firm’s marketing campaigns (presentations, market commentaries, RFP responses, marketing-related website content, and ad hoc marketing pieces) to ascertain compliance with all regulatory requirements. Provide a timely and accurate response including regulatory basis for requested changes and recommend alternatives to ensure content is compliant.
Work with business teams on implementing regulatory changes that impact marketing
Assist with electronic communication reviews
Support Compliance Manager by conducting compliance testing on the firm’s policies and procedures
Assist with the preparation and submission of regulatory filings and disclosure documents
Provide support for internal and external audits and examinations
Conduct oversight and due diligence on critical vendors
Assist with the revision of policies and procedures
Assist with annual and ad hoc compliance training
Performs other compliance duties as required by the Compliance Manager
Equal Opportunity Employer This employer is required to notify all applicants of their rights pursuant to federal employment laws. For further information, please review the Know Your Rights notice from the Department of Labor.
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Responsibilities
Interpret, advise, administer, and monitor the Firm’s Code of Ethics for personal trading along with all required employee reporting requirements
Review the firm’s marketing campaigns (presentations, market commentaries, RFP responses, marketing-related website content, and ad hoc marketing pieces) to ascertain compliance with all regulatory requirements. Provide a timely and accurate response including regulatory basis for requested changes and recommend alternatives to ensure content is compliant.
Work with business teams on implementing regulatory changes that impact marketing
Assist with electronic communication reviews
Support Compliance Manager by conducting compliance testing on the firm’s policies and procedures
Assist with the preparation and submission of regulatory filings and disclosure documents
Provide support for internal and external audits and examinations
Conduct oversight and due diligence on critical vendors
Assist with the revision of policies and procedures
Assist with annual and ad hoc compliance training
Performs other compliance duties as required by the Compliance Manager
Equal Opportunity Employer This employer is required to notify all applicants of their rights pursuant to federal employment laws. For further information, please review the Know Your Rights notice from the Department of Labor.
#J-18808-Ljbffr