Investment Advisory Compliance Analyst Job at Select Recruiting Group, LLC, West Chester, PA

UzhKTWk0L0d2OFhsNWVhVzdVZ2ZwMjFR
  • Select Recruiting Group, LLC
  • West Chester, PA

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,

Similar Jobs

Warp

Product Management Intern Job at Warp

 ...brands in the U.S. What Youll Do: As a Product Management Intern, youll work closely with our product and engineering teams to...  ...Junior or senior undergraduate student, recent grad, or MBA candidate Why Warp? Work with a driven, mission-focused... 

Macy’s

Food Cashier - Macys Cafe, Dadeland - Part Time Job at Macy’s

 ...! We offer a dynamic, inclusive environment with competitive pay and benefits. Enjoy comprehensive health and wellness coverage...  ...customers, and communities Who You Are No Education or Experience Required No experience required Ability to read and interpret... 

Disney Experiences

Associate Art Director - Franchise Creative, Disney Digital Entertainment Job at Disney Experiences

 ...guiding and collaborating with a robust group of creative and production leaders focused around a wonderfully rich and cohesive product...  ...Required Qualifications & Skills Minimum of 7 years of gaming, film & or TV experience and has held a position of Lead Artist, Art... 

Happy Tails Resort

Dog Daycare Attendant Job at Happy Tails Resort

 ...Job Description Job Description The Daycare Attendant is responsible for the supervision, control and management of the dogs and ensuring the safety of the playgroup while making sure each pup is having a great experience. Employees are also responsible for the maintenance... 

PC Collins Company, LLC.

Health And Safety Manager Job at PC Collins Company, LLC.

 ...Job Description Health & Safety Manager Position Overview The Health & Safety Manager is responsible for administering and...  ...safety audits and jobsite inspections to ensure compliance with OSHA, federal and state regulations, client requirements, and internal...