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Cary Street Partners · 1 day ago

Compliance Analyst

Richmond, VA

Full-time

Onsite

Entry Level

2+ years exp

Cary Street Partners is a financial services firm seeking a Compliance Analyst to support their compliance efforts. The role involves assisting with regulatory matters, managing securities registrations, and collaborating with various corporate departments to ensure adherence to compliance policies.

Asset ManagementVenture CapitalWealth Management

Responsibilities

Assist with all compliance and regulatory matters governed by SEC, FINRA, ERISA, and other various federal and state securities and privacy laws

Assist with the implementation, maintenance, and daily surveillance of various compliance supervision systems, and a vendor management system

Manage firm and employee securities registrations and licensing, including examination preparation and regulatory reporting obligations, with the applicable federal, state, and regulatory organizations

Assist Risk & Audit division with entry-level audit support (e.g., data collection, aggregation, and analysis), branch/office examinations, and other ad hoc testing

Ability to design and generate reports documenting adherence to firm requirements and processes for clients and employees

Review home office associates’ electronic correspondence and social media as delegated

Assist in the maintenance, monitoring and updating of the firm’s broker-dealer and investment advisory policies and procedures manual

Develop and maintain firm client facing and internal forms and documents, including e-delivery documents

Assist in the implementation process for regulatory rule implementation/updates, policy changes and amendments and procedural revisions, including technology and internal controls enhancements, training needs assessments and communication strategies

Support Compliance Team in responding to regulatory examinations, sweeps and inquiries from regulators, auditors, and other third parties

Assist in design and preparation of meeting and training presentation materials; and

Manage and maintain the Compliance intranet page for Compliance Team

Qualification

Compliance knowledgeSecurities regulationsData analysisPowerPoint proficiencyExcel proficiencyPythonSQLProactive problem solvingAttention to detailCommunication skillsTeamworkOrganizational skillsInitiative

Required

Assist with all compliance and regulatory matters governed by SEC, FINRA, ERISA, and other various federal and state securities and privacy laws

Assist with the implementation, maintenance, and daily surveillance of various compliance supervision systems, and a vendor management system

Assist Risk & Audit division with entry-level audit support (e.g., data collection, aggregation, and analysis), branch/office examinations, and other ad hoc testing

Ability to design and generate reports documenting adherence to firm requirements and processes for clients and employees

Review home office associates' electronic correspondence and social media as delegated

Assist in the maintenance, monitoring and updating of the firm's broker-dealer and investment advisory policies and procedures manual

Develop and maintain firm client facing and internal forms and documents, including e-delivery documents

Support Compliance Team in responding to regulatory examinations, sweeps and inquiries from regulators, auditors, and other third parties

Assist in design and preparation of meeting and training presentation materials

Manage and maintain the Compliance intranet page for Compliance Team

Attention to detail, accuracy and professional quality on all written documents and correspondence

Excellent verbal and written communication and interpersonal skills and ability to communicate professionally and effectively with all levels of external contacts and internal firm associates

Ability to be proactive and quickly assess a situation and conceptualize a correct solution

Ability to manage and organize large amounts of detail

Ability to work effectively on multiple projects simultaneously with shifting priorities

Ability to work both independently and in a team environment

Ability to take initiative on tasks and wear many hats/handle various roles in a small company environment

Ability to collaborate and maintain strong working relationships with home office colleagues, branch personnel, and external vendors, regulators and others