Compliance Analyst

  • 80,000-95,000 USD + bonus
  • Philadelphia, PA, USA Philadelphia PA US
  • Permanent, Full time
  • Hamlyn Williams
  • 14 Mar 18 2018-03-14

A global asset management company is seeking an individual to join their compliance team. The company is rapidly growing in the United States and is looking for a candidate that will help the company prosper. The ideal candidate will have experience with an asset management company, strong work ethic, and great communication skills.

The position entails conducting timely reviews and processing of broker/dealer and investment adviser advertising and marketing in line with applicable rules and regulations. Performing substantive compliance responsibilities for asset management firm including; development and implementation of compliance policies. Assist in developing, implementing and monitoring programs and controls. 

Position requirements

  • Working knowledge of the Federal securities rules and regulations
  • Ability to work independently and also as part of a high-functioning, collaborative team of compliance professionals
  • Service focused with a proven ability to understand and communicate effectively with business project teams, investment professionals, counsel, and team members about technical, complex compliance standards and policies
  • Monitor and track compliance with policies and procedures
  • Assist with new product development and associated regulatory filings