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
Holiday work, Full time, Local area, Relocation, 2 days per week, 3 days per week, Monday to Friday,