Compliance Analyst

Under the guidance of the Chief Compliance Officer and Compliance Director, the Compliance Associate is responsible for the coordination, ongoing development and administration of employee reporting, web-based compliance training, and anti-money laundering (AML) and customer due-diligence programs. The Compliance Associate will also participate in the development and implementation of the Firm’s overall compliance program and corporate reporting and maintenance program.

RESPONSIBILITIES

· Responsible for new employee training and reporting requirements, serving as a resource for employees with compliance and ethics questions.

· Initiate and manage quarterly firm-wide certifications and assist employees to ensure timely completion.

· Lead Corporate Actions and work with the Legal department to ensure that all deadlines are met.

· Review employee disclosures and provide quarterly and annual reports to senior management.

· Work with other departments within the Firm on AML issues and client due diligence.

· Assist employees with data entry, opening and closing of accounts, stock splits, trade confirmation.

· Maintain correspondence with brokers concerning employee accounts and data feed maintenance.

· Ensure that all compliance matters are properly investigated and that appropriate action is taken and documented.

· Prepare and present timely, accurate and objective reports to senior management as required.

· Perform other ad hoc responsibilities as assigned.

· Assist on periodic updates to the Firm’s Compliance Manual, Form ADV and other regulatory filings.

MINIMUM QUALIFICATIONS

· BA/BS degree

· Preferably 1-2 years of compliance related experience with a registered investment advisor or regulator

· Ability to meet deadlines and work well independently

· Strong organizational skills and attention to detail

· Ability to communicate with employees at all levels of the organization