Compliance Analyst

Job description: Compliance Analyst

Tasks

• Perform compliance monitoring, including Rule 28e-1 testing and maintenance of test documentation and results
• Preparation of written memoranda with results of compliance monitoring and Rule 28e-1 tests for senior management and inclusion in quality assurance
• Contributing to other reports for inclusion in Board materials, writing minutes for committee meetings
• Scheduling and conducting interviews with internal departments and external vendors as part of 28e-1 requirements
• Support with the review and compilation of regulatory submissions
• Support in ensuring that new fund registrations are carried out properly
• Maintenance of the 15c consultant library
• Support with the annual compliance review
• Answering compliance questions, drafting and maintaining policies and procedures
• Update on regulatory developments
• Collaborating with the compliance team and supporting other compliance-related functions and ad hoc projects

Requirements

• 3+ years of experience in investment fund compliance in a financial services company
• Bachelor's degree
• Initiative, exceptional organizational, communication and interpersonal skills
• Strong ability to review regulatory documentation and provide accurate analysis
• Self-motivated with strong organizational, writing and communication skills
• Ability to work in a key role and manage multiple tasks both independently and as part of a team
• Detail-oriented and effective research skills
• Ability to learn new systems

We offer

• A work environment that promotes equal opportunities and values an inclusive and collaborative culture
• Opportunities for professional development and growth
• Flexible working arrangements
• Comprehensive benefits package, including competitive compensation, bonus, 401(k), life and long-term disability insurance, group health benefits, extended parental leave and long-service leave
• Additional benefits, such as private health insurance, discounted gym memberships and more