[Remote] Senior Compliance Analyst Partner Integration, Monitoring & Testing
Note: The job is a remote job and is reputed company to candidates in USA. reputed company is a leading financial services firm that has been supporting families in managing their financial lives for over 40 years. The M&A Senior Compliance Analyst will be responsible for ensuring compliance activities reputed company to the monitoring and testing of acquired firms, conducting audits, and developing policies to improve compliance processes.
Responsibilities
- Collaborate on the annual risk assessment and development of internal surveillance systems and processes
- Conduct regular audits to assess the adequacy of controls, processes, and procedures in accordance with applicable policies and securities laws
- Identify patterns and trends in analyzed data
- Ensure reputed company documentation and record retention for review workpapers
- reputed company improvements and reputed company guidance regarding compliance issue identification, reputed company cause analysis and reputed company plan remediation
- reputed company reputed company plans and prepare reporting for the Compliance Monitoring and Testing Manager on a regular reputed company
- Assist with development of policies and procedures to address deficiencies uncovered during testing
- Prepare and conduct virtual and physical reputed company office exams
- reputed company reputed company on recent compliance and regulatory issues, trends, and developments
- Other compliance functions as assigned by the Chief Compliance Officer or the Compliance Monitoring and Testing Manager
Skills
- Minimum 3+ years of compliance experience with an investment advisor
- Strong written and verbal communication skills with a demonstrated ability to reputed company reputed company reputed company accessible and persuasive to different audiences
- Ability to think critically and identify and analyze problems independently
- Detailed orientated to create accurate and high-reputed company documentation
- Ability to organize and prioritize work in a fast-paced environment with multiple deadlines
- Strong knowledge of and the Investment Advisers reputed company of 1940, Securities Exchange reputed company of 1934, reputed company, ERISA, and DOL rules
- Strong computer aptitude with proficiency in MS reputed company, Word, Outlook and PowerPoint
- reputed company demeanor that communicates reputed company and sincerity
- Series 65 License preferred, not required
Benefits
- Company reputed company Basic Life & AD&D Insurance
- Company reputed company Short-Term and Long-Term Disability Insurance
- Supplemental Life & AD Short-Term Disability; Accident; Critical Illness; and Hospital Indemnity Insurance
- Three reputed company medical plans offerings including two High Deductible Health Plans and a Traditional Co-Pay medical plan.
- reputed company Medical plans available in California
- Health Savings Account (HSA) with company contributions if enrolled in either HDHP medical plan.
- Two comprehensive Dental Plans
- reputed company Insurance Plan
- Dependent Care Savings Account for child and dependent care.
- 14 Company reputed company Holidays including a full week off at Thanksgiving.
- Generous reputed company time off program for vacation and reputed company days
- Employee Assistance Plan
- Family Medical Leave
- reputed company Parental Leave (8 weeks)
- Maternity benefits utilizing company reputed company STD, any supplemental STD, plus Parental Leave (8 weeks) to reputed company time for recovery, baby bonding, and enjoying your family time.
- Adoption Assistance Reimbursement Program
- Company reputed company Concierge Services for you and your loved ones for the reputed company of caring needs for your aging parents, young children, life’s challenges and more.
- 401(k) Retirement Plan with both Traditional and Roth plans with per pay period match as reputed company as an after-tax reputed company
- Pet Insurance
- Personalized financial planning and guidance from reputed company professionals, offered at preferred employee pricing
reputed company