What are the responsibilities and job description for the Senior Compliance Analyst position at StevenDouglas?
Confidential Financial Services Firm is seeking an experienced Compliance Officer supporting General Counsel and Senior Leadership within a employee friendly organization offering competitive compensation and excellent benefits.
Primary Responsibilities:
- Testing of compliance by the Firm and its affiliates
- Coordinate and review quarterly compliance reporting to the CCO
- Provide ongoing review of Fund and Firm compliance policies
- Familiarity with SEC rules and updated guidance- ensuring firm complies
- Amending compliance manual
- Maintenance of compliance platform system that houses highly confidential information
- Communication with various brokerage firms
- Working with deals team- certifying that funds are being invested per LP agreements
- Unmatched trade documentation
- Participate in monthly compliance meetings – VRAC (Value Risk and Compliance) meetings
- Partner with all business units to identify key risks and drive the development, documentation and improvement/revision of compliance policies and procedures
- Assist in the preparation and presentation of ongoing training on compliance policies
- Assist in other compliance-related matters as directed by the CCO, as well as General Counsel
- Assist on cross functional projects with other business units such as Risk, Finance, Legal, and IT Operations
- Tracking of NDAs on deals side
- Maintenance of “restricted company list”
Minimum Requirements:
- Bachelor's Degree in business related field
- 3 years compliance experience
- Detail oriented, hands-on professional
- Strong analytical skills; must be able to multi-task and prioritize effectively
- Highly motivated with the ability to work independently
- Excellent communication skills both written and verbal
