What are the responsibilities and job description for the Compliance Analyst position at H Cap Connect, LLC?
About the Client
A rapidly growing Registered Investment Advisory firm located in Bedminster, New Jersey, with an expanding client base, is seeking a Compliance Analyst to join the team. This role will support the firm's compliance program. This is a part-time opportunity (less than 20 hours per week).
Job Summary :
The Compliance Analyst will support the firm's compliance program to ensure adherence to SEC and state regulatory requirements, internal policies, and industry standards. This individual will assist with implementing, monitoring, and reporting the firm's compliance policies and procedures, ensuring that the firm maintains a strong compliance culture.
Key Responsibilities :
- Regulatory Compliance :
Monitor and ensure adherence to SEC and state regulations applicable to RIAs, including the Investment Advisers Act of 1940.
Assist in drafting, updating, and maintaining compliance policies and procedures, including the firm's Code of Ethics and supervisory procedures.
Monitor personal securities transactions and maintain records of employees' attestations and disclosures.
Prepare for and assist with regulatory examinations or audits conducted by the SEC or state agencies.
Qualifications :
Skills :
Licensing Requirements :
While compliance analysts are not always required to have specific licenses, certain credentials can enhance their qualifications :
Investment Adviser Certified Compliance Professional (IACCP) : A specialized certification for RIA compliance professionals.
