SEC Compliance Analyst

Job Description

Job Description

Pitcairn’s innovative Shared Single Family Office™ model provides unparalleled service to wealthy families and other family offices. Since the firm’s founding in 1923, Pitcairn has helped ultra-high-net-worth families and its members navigate the individual, interpersonal, and institutional challenges that come with wealth. We understand multigenerational family wealth in a way that few other wealth advisory firms do. Our comprehensive family office services include investment advisory, tax, trust and estate planning, risk management, philanthropy, household-level financial services as well as family education and family governance support.

PRIMARY FUNCTION

The SEC Compliance Analyst will assist the Firm’s CCO with ensuring the company adheres to all SEC regulations by monitoring business practices, conducting compliance audits, identifying potential issues, implementing preventative measures, providing training to staff, and maintaining accurate documentation to report compliance status to senior management, all while staying updated on evolving SEC regulations.

RESPONSIBILITIES

• Continuously monitor changes in SEC regulations and industry best practices to maintain compliance
• Assist in creating and updating company compliance policies and procedures aligned with SEC regulations
• Prepare and submit necessary SEC filings, including forms and reports, ensuring accuracy and timeliness
• Work closely with CCO, legal counsel, advisory, investments and other departments to identify and address compliance concerns
• Investigate potential compliance violations, documenting findings and recommending appropriate corrective actions
• Maintain comprehensive records of compliance activities, including audit findings, investigations, and corrective actions
• Assist with delivering compliance training programs to educate employees on relevant SEC rules and company policies
• Identify and evaluate potential compliance risks within the company, developing mitigation strategies to address them
• Conduct periodic audits of departments and functions to identify potential compliance risks and areas for improvement
• Regularly review company activities and transactions to ensure adherence to SEC rules regarding trading, disclosure, insider information, and recordkeeping

EDUCATION / EXPERIENCE

DESIRABLE ATTRIBUTES

Successful candidates will possess a broad range of skills including :

Pitcairn is an Equal Opportunity Employer. All qualified applicants will be considered for employment without regard to their race, color, religion, ancestry, national origin, sex, gender identity, sexual orientation, age, disability, marital status, domestic partner status, status as a parent or medical condition. Pitcairn complies with applicable state and local laws governing non-discrimination in employment in every location in which the Company has facilities. As an investment advisor, employees of Pitcairn may be subject to certain limitations on personal investment activities.