Senior Compliance Analyst Senior Compliance Analyst …

Sands Capital Management
in Arlington, VA, United States
Permanent, Full time
Be the first to apply
Competitive
Sands Capital Management
in Arlington, VA, United States
Permanent, Full time
Be the first to apply
Competitive
Sands Capital is an independent, employee-owned investment management firm based in Arlington, Virginia that manages multiple billions of dollars in client assets. Sands Capital’s strategies employ a fundamental, bottom-up research process to identify high-quality growth businesses that we can own for the long term in concentrated portfolios. We invest on a global basis across the life cycle from early-stage private businesses to leading public companies.

Identified below are Core Values the firm holds in high regard and believes are critical for high-performing teams at Sands Capital:

  • Integrity & Trust:  Do what is right, not what is popular.  Deliver on commitments.
  • Client-Centered:  Always act in the best interest of our clients.
  • Commitment to Excellence:  Strive to learn and improve.  Implement best practices.

Position Summary

The Sr. Compliance Analyst will use subject matter expertise to perform, analyze, and facilitate specific components of the compliance monitoring program.  This person will work both independently and in conjunction with members of the Compliance Team to mitigate risk to Sands Capital through the application of experience and judgment. 

Essential Job Functions

Client Questionnaires: The Sr. Compliance Analyst interacts with the Client Services Team on a regular basis and is responsible for ensuring that the Compliance Team provides complete, accurate, and timely reviews of all client questionnaires. Specific responsibilities include:

  • Thoughtfully reviewing client questionnaires with impeccable attention to how responses are written in order to ensure they are accurate, complete, and consistent
  • Preparing and responding to certifications, reporting, and other ad hoc compliance questions from clients promptly and accurately
  • Effectively applying working knowledge to the review of client questionnaires, including those based on Rules 15(c) and 38a-1 from the funds for which we are sub-advisers

Code of Ethics: The Sr. Compliance Analyst is responsible for all aspects of the Code of Ethics and is expected to be a subject matter expert in these areas. Specific responsibilities include:

  • Effectively managing the day-to-day activities of relevant team members as it relates to the Code of Ethics, including staff member personal trading
  • Ensuring all staff member and firm information is kept up to date in the personal trading system
  • Evaluating and providing recommendations for improvement of the staff member onboarding process, including initial compliance training and the access person designation process

Client Onboarding and Maintenance:  The Sr. Compliance Analyst is responsible for ensuring that all initial and amended client contracts are reviewed thoroughly for client-specific Compliance obligations and that their implementation is complete, accurate, and timely. Specific responsibilities include:

  • Reviewing all new and amended client contracts for client specific guidelines and restrictions, periodic reporting and regulatory reporting required of Compliance
  • Effectively managing the day-to-day activities of relevant team members as it relates to the implementation and ongoing maintenance of such obligations
  • In partnership with other members of the Compliance Team and members of the Investment Operations Team, engage in thoughtful dialogue and decision making to determine whether client specific guidelines can be automated or must be reviewed manually
  • Collaborating with others to develop effective forensic testing for processes related to client onboarding and maintenance

Additional responsibilities include:

  • Quarterly forensic testing of compliance policies and procedures
  • Conducting periodic e-mail reviews
  • Monitoring, testing, and due diligence of expert networks
  • Assisting in monitoring, drafting and updating of regulatory filings
  • Assisting in the coordination of annual mock SEC exams
  • Assisting in the coordination of compliance responses to annual SOC Audit
  • Assisting in the production and completion of the annual CCO report
  • Assisting in the review and production of compliance policies and procedures ensuring that they are kept up to date

Skills and Qualifications

  • Experience with third-party personal trading platforms is required (ComplySci preferred)
  • Experience with and understanding of preparation and filing of the following is strongly preferred:
    • Forms 13F, 13G and 13H
    • TIC Forms SLT and SHLA
    • Periodic reporting obligations to various state regulators
    • Maintenance of IARD, PFRD and CRD access
    • Maintenance of U4/U5s
    • Foreign shareholder ownership reporting requirements
    • Periodic reporting obligations to Canada’s QSC, ASC and OSC
    • Periodic reporting obligations to Australia’s ASIC
  • Bachelor’s degree required
  • 10-15 years of relevant compliance experience at an investment management firm required
  • Working knowledge of the Investment Advisers Act and Investment Company Act required
  • Experience with reviews of investment adviser marketing a plus
  • Knowledge of international investments a plus.

To be successful in this role, the candidate must be:

  • A team player with a positive, ‘can-do’ attitude
  • Collaborative and energized by the open exchange of ideas
  • Able to operate with a growth mindset
  • Analytical with strong research and critical thinking skills
  • Learning agile, able to adapt quickly and appropriately
  • Conscientious and able to handle confidential and sensitive information with discretion
  • Results-oriented with a strong sense of accountability
  • Able to deliver feedback in a timely and constructive manner
  • Able to work independently with a high degree of efficiency and accuracy
  • Able to effectively prioritize and coordinate work across multiple team members
  • Exhibit behaviors consistent with Sands Capital’s values and culture

Additional Information

To be considered, candidates must submit a resume that specifically outlines your qualifications for the position.

If you wish to apply for this position, please do so via Sands Capital Management’s Careers page at http://sandscapital.com/careers/.

We offer competitive salaries and generous benefits.

Sands Capital is proud to be an Equal Opportunity Employer. We are committed to providing equal employment opportunities to all applicants and staff members. For our staff members, equal opportunity includes access to the benefits and privileges that the firm provides to staff members generally. We appreciate the value diversity brings to Sands Capital and are committed to creating an inclusive environment for all staff members.

We evaluate and select qualified applicants without regard to race, color, national origin, age, religion, disability status, gender, sexual orientation, gender identity, genetic information, marital status, veteran status, or any other characteristics protected by applicable federal, state, or local laws. Discrimination of this kind is also strictly prohibited by a variety of federal, state, and local laws, including Title VII of the Civil Rights Act 1964, the Age Discrimination in Employment Act of 1967, and the Americans with Disabilities Act of 1990.

View the “Equal Employment Opportunity is the Law” poster here and its supplement here.

We are committed to working with and providing reasonable accommodations to pregnant individuals, individuals with disabilities, and/or individuals needing accommodation for sincerely held religious beliefs. If you need a reasonable accommodation, please send an e-mail to eciccarello@sandscap.com and let us know the nature of your request and your contact information.

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