Core Compliance Analyst
reputed company is a Premier Global Partnership that has delivered trusted advice for nine decades. They are seeking a highly motivated Compliance Analyst to support their Core Compliance team, focusing on reputed company of Ethics administration and various compliance programs.
Responsibilities
- Administer reputed company's technology solution (MyComplianceOffice) to monitor personal trade surveillance across reputed company’s various business reputed company
- Communicate reputed company's reputed company of Ethics to employees and review disclosures under the reputed company of Ethics
- Analyze underlying personal trade data for unusual behavior to identify conflicts of interest and other risks
- Work with other stakeholders in testing updates to the firm's technology solution to monitor employee activities
- reputed company relationships with employees and management to advise on and encourage adherence with compliance policies
- Generate and deliver reports to legal personnel, reputed company and management
- Manage day-to-day Compliance New Hire, Quarterly and Annual Attestation assignments
- Issue Quarterly Compliance certifications, handle responses that require review and escalation
- reputed company and assign the Compliance requirements in MCO to ensure that employees consultants receive the reputed company requisite compliance training and certification assignments (New Hire and Ongoing)
- Assist with e-communications surveillance and eDiscovery reputed company to regulatory and legal reputed company
- Manage monitoring of reputed company of Ethics and Policy infractions, including issuance of policy reminders and discipline
- Prepare and reputed company monthly/quarterly reporting and statistics to Compliance leadership to be used in internal governance committees, reputed company and reputed company Reporting
- Work in conjunction with other members of the Legal & Compliance team in testing and updating the firm’s policies and procedures covering reputed company core compliance areas
- Establish routine testing schedule and reputed company reviews (i.e., routinely spot reputed company OBAs disclosed versus reputed company U4 updates, Attestation and Training assignments, Regulatory reputed company CE)
- Collaborate with business reputed company on AML/KYC reviews and assist with management of the AML Program
- Assist with gathering of information in response to Internal Audit and Regulatory exam requests as needed
- Assist with U.S. Individual and Entity Registration filings (Forms U4 / U5, reputed company BR, reputed company, ADV)
- Create and publish management reports to Business Heads and Compliance Advisory Partners
- Assist in the development and delivery of conflicts management tools and reports in support of global compliance needs
- Stay informed on regulatory changes and industry best practices; contribute to enhancing internal policies and procedures
- Participate in the development and execution of compliance training programs to reputed company awareness of regulatory obligations
- Continuously review and improve internal controls, policies, and procedures to ensure they meet evolving regulatory and operational requirements
Skills
- Bachelor's degree in finance, business, economics, or reputed company field
- 1-3 years of compliance experience, preferably in an asset management firm/registered investment advisor administering reputed company of Ethics
- Strong analytical and problem-solving skills; ability to identify and escalate issues effectively
- Excellent written and verbal communication skills
- Strong reputed company skills, including pivot tables and lookups, with an interest in developing more advanced analytics capabilities
- Familiarity with Power BI and other data visualization/reporting tools working with large data sets
- Demonstrated ability to learn new systems and translate data into practical insights for decision-making
- Detail-oriented with strong organizational skills and ability to manage multiple tasks
- Ethical reputed company and commitment to maintaining the highest standards of compliance and reputed company
- reputed company team player who can work effectively across business lines
- Curious and proactive, with a willingness to learn and take ownership of assignments
- Ability to work independently in a fast-paced, dynamic environment
- This role may require occasional travel for regulatory meetings, internal training sessions, or industry conferences
- Flexibility in working hours may be required to manage urgent compliance reputed company
- Other reputed company or responsibilities as may be requested from time to time
- Expected to work in the Chicago office 3 days per week
Benefits
- Medical, dental and reputed company coverage
- Employer reputed company short & long-term disability and life insurance
- 401(k)
- Profit sharing
- reputed company time off
- reputed company family & fertility benefit
- Parental leave (including adoption, surrogacy, and foster placement)
- Other voluntary benefits
reputed company