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Job Order:
0553-004-711

Job Type:
Permanent

Title:
Compliance Analyst

Location:
Washington D.C. Area

Description:
Summary/Responsibilities:
Reporting to the Director of Compliance and the Compliance Team to support development/review/production of processes/standards/policies/guidelines required to facilitate compliance with regulatory standards.
Assist in the review/production of compliance policies/procedures; keep regulatory policies current.
Review complex materials and effectively communicate edits, explain the basis for the problem, and be creative in suggesting alternatives to any problematic language.
Keep abreast of ever-changing advertising regulations/industry standards, developing disclosures as needed
Participate in the internal/external reviews of the compliance program, and educate/promote compliance program to employees.
Stay current on new regulations impacting the firm; ensure compliance with new/existing regulations.
Work with internal teams to analyze/resolve compliance matters.
Support compliance team to cover the following areas:
-Code of Ethics: monitor employee personal trading/related accounts – pre-clearance/evaluate trade blotter vs. personal trades/keep files of employee brokerage statements and confirms current.
-Restriction Monitoring: monitor compliance restrictions of client accounts/help define and perform accurate restriction tests/draft and send compliance documents to clients.
-Regulatory filings: assist in updating/monitoring ongoing regulatory filings (13F/13G/ADV/U4/U5/state registrations/foreign registrations).
-Marketing and Advertising Materials Review: Assist in the review of marketing materials for conformity to applicable rules/regulations promulgated under state/federal securities laws and firm compliance policies/procedures.

Requirements:
Bachelor’s degree required.
5-7 years of compliance experience at an asset management firm with
an emphasis on reviewing advertising and sales literature.
Working knowledge of GIPS strongly preferred.
Knowledge of the Investment Advisers and Investment Company Act preferred.
Knowledge of Linedata Longview and Advent AXYS preferred.
Knowledge of international investments preferred.


Category:
Asset Management

Contact:
nathan@bcius.com