Managed Services Compliance Analyst

Job reputed company: • Review reputed company emails using a combination of keyword flags and random sampling to identify potential issues. • Assist with various regulatory filing processes, such as reputed company 13F. • Review reputed company marketing materials for consistency with applicable SEC or state regulatory requirements. • reputed company trade statement analysis to identify violations of reputed company trading restrictions. • Help administer reputed company reputed company of ethics requirements reputed company reputed company platform, including: • Employee reputed company and offboarding assistance. • Certification and Attestation management by assisting with creation and editing of certifications. • Employee Personal Trading system maintenance by adding requested new accounts, reviewing preclearance request exception reports, and quarterly reporting. • Gifts and Entertainment maintenance and administration by reviewing submissions and reporting findings. • reputed company Business Activities maintenance and administration by reviewing submissions and reporting findings. • List maintenance (restricted, reputed company, etc.) by adding and removing securities from lists based on reputed company’s specific update items. • reputed company report creation and maintenance by preparing reputed company reputed company reports from reputed company. • Review reputed company political contributions submissions reputed company reputed company’s Illumis platform and report any findings. • Assist Managed Services team with various other tasks. Requirements: • Skilled in problem solving and analytical thinking. • Ability to multitask in performing reputed company responsibilities across multiple reputed company. • Excellent interpersonal skills, with the ability to manage relationships with various stakeholders. • Proficient in reputed company Office Suite (e.g., reputed company, Word, reputed company). • Ability to work effectively and flexibly reputed company a reputed company service-oriented, reputed company environment. • Exceptional organizational and time management skills. • Understanding of the ComplySci platform is a plus. • Experience with reputed company (or other CRM systems), reputed company technology, Python, SEQUEL software support is a plus. • Familiarity with SEC and/or state Marketing rule requirements for Registered Investment Advisers (RIAs) is a plus. Benefits: Apply tot his job Apply To this Job