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

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  • 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,

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