Compliance Analyst
Company Name:
Inspried Review
Our client is actively pursuing a Compliance Analyst to join otheir fast-growing, innovative business and regulatory compliance consulting firm and affiliated securities law firm.
Responsibilities
- Serve as the primary point of contact for clients, always ensuring an outstanding client experience.
- Understand the issues faced by our entrepreneurial clients and consult with them on investment adviser regulatory compliance matters, including record keeping, marketing materials, communications and reporting as required by federal and state regulators.
- Prepare and maintain regulatory filings and policies and procedures for investment advisers.
- Review marketing materials for compliance with rules and regulations.
- Coordinate delivery of advanced consulting items with regulatory counsel.
- Adhere to, and continually enhance, business processes and project plans.
- Expand, develop and innovate the role to meet the dynamic needs of the company.
Qualifications
- Familiarity with investment advisor regulatory compliance, including the Investment Advisers Act of 1940.
- Awareness of broker-dealer and/or hedge fund regulation is a plus.
- Proactive approach in identifying and correcting existing or potential problem areas.
- Experience with creating and maintain compliance related documentation.
- Proven ability to develop and maintain client relationships.
- Excellent verbal and written communication skills.Estimated Salary: $20 to $28 per hour based on qualifications.
Inspried Review
Our client is actively pursuing a Compliance Analyst to join otheir fast-growing, innovative business and regulatory compliance consulting firm and affiliated securities law firm.
Responsibilities
- Serve as the primary point of contact for clients, always ensuring an outstanding client experience.
- Understand the issues faced by our entrepreneurial clients and consult with them on investment adviser regulatory compliance matters, including record keeping, marketing materials, communications and reporting as required by federal and state regulators.
- Prepare and maintain regulatory filings and policies and procedures for investment advisers.
- Review marketing materials for compliance with rules and regulations.
- Coordinate delivery of advanced consulting items with regulatory counsel.
- Adhere to, and continually enhance, business processes and project plans.
- Expand, develop and innovate the role to meet the dynamic needs of the company.
Qualifications
- Familiarity with investment advisor regulatory compliance, including the Investment Advisers Act of 1940.
- Awareness of broker-dealer and/or hedge fund regulation is a plus.
- Proactive approach in identifying and correcting existing or potential problem areas.
- Experience with creating and maintain compliance related documentation.
- Proven ability to develop and maintain client relationships.
- Excellent verbal and written communication skills.Estimated Salary: $20 to $28 per hour based on qualifications.
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