Compliance Analyst/Manager

We are looking for a hard-working, team-oriented and flexible professional with 3+ years of experience in a compliance role in the finance space. The right person for the role must be detail-oriented, while being able to function in a fast-paced environment within a growing company.
The Compliance Analyst/Manager will support all aspects of the compliance program with a primary focus on the relationship management and business development process. Reporting directly to the CCO, the Compliance Analyst/Manager will work with members of the Legal, Relationship Management, Finance, IT, and Investment teams, with clear visibility to senior management.

Benefits:

• Competitive salary.
• Comprehensive benefits package to include medical, dental, vision, life, disability and 401(k) with employer matching.
• Paid leave and holidays.
• Collaborative and innovative work environment.

Job Details:
We are seeking a dynamic and experienced Compliance Analyst/Manager to join our growing team in the finance industry. The successful candidate will play a critical role in ensuring our company adheres to legal standards and in-house policies. You will be responsible for enforcing regulations in all aspects and levels of business as well as providing guidance on compliance matters. This is an exciting opportunity to join a fast-paced, innovative environment where you will have the chance to make a real impact on our operations and overall success.

Responsibilities:
As a Compliance Analyst/Manager, you will be responsible for:

1. Developing and overseeing control systems to prevent or deal with violations of legal guidelines and internal policies.
2. Evaluating the efficiency of controls and improving them continuously.
3. Revising procedures, reports etc. periodically to identify hidden risks or non-conformity issues.
4. Collaborating with corporate counsels and HR departments to monitor enforcement of standards and regulations.
5. Assessing the business’s future ventures to identify possible compliance risks.
6. Reviewing the work of colleagues when necessary to identify compliance issues and provide advice or training.
7. Keeping abreast of regulatory developments within or outside of the company as well as evolving best practices in compliance control.
8. Preparing reports for senior management and external regulatory bodies as appropriate.

Qualifications:
The ideal candidate for the Compliance Analyst/Manager role should have:

1. A minimum of 3 years of experience in a compliance role, preferably within the finance industry.
2. Proven experience as compliance manager or compliance officer.
3. In-depth knowledge of the industry’s standards and regulations.
4. Experience with compliance testing and reviewing marketing materials to ensure adherence to regulations.
5. The ability to interpret and apply complex regulations and laws.
6. Excellent communication skills, both written and verbal, with the ability to present complex information in a clear and concise manner.
7. Strong analytical skills with an attention to detail.
8. A problem-solving attitude with an ability to motivate and influence others.
9. Proficiency with Microsoft Office Suite, particularly Excel and PowerPoint.
10. A Bachelor’s degree in law, finance, business administration or a related field. Advanced certification in compliance such as Certified Compliance & Ethics Professional (CCEP) is a plus.