Job Description

Investment Advisory Compliance Analyst

Our client, a growing, successful Investment Management Firm located outside Philadelphia, is seeking a Investment Advisory Compliance Analyst.

***This is a full-time, hybrid, direct-hire role. The position is in the office 3 days per week.

*** Local candidates only; not open to relocation.

Responsibilities:

• Communication Oversight: Monitor employee electronic communications to maintain compliance.
• Regulatory Records Management: Maintain and organize the compliance calendar, regulatory books, and records.
• Ethics Compliance: Oversee the Code of Ethics monitoring system, including the deployment and review of initial, quarterly, and annual certifications.
• Conflict of Interest Review: Evaluate personal securities transactions and potential conflicts of interest, including outside business activities, gifts, entertainment, and political contributions.
• Service Provider Monitoring: Track service provider compliance.
• Risk Assessment & Testing: Conduct thorough compliance testing annually and periodically.
• Training & Presentation: Assist in preparing presentations and training materials for employees, Governance Committees, and the Board.
• Vendor Oversight: Work with the CCO and Compliance Manager to oversee third-party managers and vendors by preparing and distributing due diligence questionnaires.
• Reporting: Contribute to preparing quarterly and annual reports for the Governance Committee and Trust CCO.
• Regulatory Filings & Manual Maintenance: Assist in preparing regulatory filings, performing service provider reviews, and maintaining compliance manuals.

Experience:

• In-depth knowledge of the Investment Advisers Act of 1940 and the Investment Company Act of 1940.
• 2+ years of internal compliance experience within financial/investment services (RIA or RIC).
• Experience with ComplySci and/or Global Relay preferred.

Hybrid Schedule:

• In-office: Tuesday, Wednesday, Thursday (Remote Monday/Friday)
• Memorial Day to Labor Day: Only two office days per week (14 weeks)
• Three remote weeks: Fourth of July, Thanksgiving week, Week before Christmas

Time Off & Benefits:

• 4 weeks of PTO + office closed between Christmas & New Year’s
• 40 hours of paid volunteer time annually
• 10 NYSE holidays (office closed)
• 401(k) with 6% match & profit-sharing potential

Job Tags

Similar Jobs