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Comply · 1 hour ago

Managed Services Compliance Analyst

United States

Full-time

Remote

New Grad, Entry Level

$55K/yr - $66K/yr

Comply is the leading provider of compliance SaaS and consulting services for the global financial services sector. The Managed Services Compliance Analyst is responsible for reviewing e-communications, performing trade statement analysis, executing regulatory filings, and completing other regulatory compliance tasks for financial services clients.

Business DevelopmentComplianceConsultingProfessional Services

No H1B

Responsibilities

Review client emails using a combination of keyword flags and random sampling to identify potential issues

Assist with various regulatory filing processes, such as Form 13F

Review client marketing materials for consistency with applicable SEC or state regulatory requirements

Perform trade statement analysis to identify violations of client trading restrictions

Help administer client code of ethics requirements via Comply platform, including:

Employee onboarding and offboarding assistance

Certification and Attestation management by assisting with creation and editing of certifications

Employee Personal Trading system maintenance by adding requested new accounts, reviewing preclearance request exception reports, and quarterly reporting

Gifts and Entertainment maintenance and administration by reviewing submissions and reporting findings

Outside Business Activities maintenance and administration by reviewing submissions and reporting findings

List maintenance (restricted, auto-approve, etc.) by adding and removing securities from lists based on client’s specific update items

Standard report creation and maintenance by preparing standard out-of-the-box reports from Comply

Review client political contributions submissions via Comply’s Illumis platform and report any findings

Assist Managed Services team with various other tasks

Qualification

Analytical thinkingRegulatory complianceMicrosoft Office SuiteComplySci platformSalesforceSaaS technologyPythonMultitaskingStakeholder managementSEQUEL software supportSEC rulesInterpersonal skillsOrganizational skillsTime management