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Job

Compliance Analyst

  • Location

    San Francisco

  • Sector:

    Financial Services and Banking

  • Job type:

    Permanent

  • Salary:

    $80,000 - $90,000

  • Contact:

    Katherine Barnes

  • Contact email:

    k.barnes@hamlynwilliams.com

  • Salary high:

    0

  • Salary low:

    0

  • Published:

    26 days ago

  • Expiry date:

    2022-12-01

  • Startdate:

    ASAP

A prestigious global asset management client of ours is looking to add a Compliance Analyst to their new team in San Francisco. This position will be the point of contact for the San Francisco office, working with the US compliance team. The Compliance Team is responsible for the identification and assessment of current and future changes in regulation and other key inputs to the business.  

Responsibilities Include:

  • Ensure that anti-money laundering (“AML”) policies and procedures are adhered to.
  • Perform basic and enhanced due diligence including “Know Your Customer” and negative news screening on new and existing relationships.
  • Conduct an annual AML risk assessment.
  • Assist in creating AML training materials.
  • Review any potential suspicious activities.
  • Respond to compliance related questions from employees in San Francisco.
  • Assist with regulatory filings. 
  • Monitor the informational barriers between the business and affiliate businesses.
  • Manage the compliance relationships with the front office CIO, desk heads, portfolio managers, research analysts and traders based in the San Francisco office.
  • Provide compliance input into a range of projects / initiatives including new product launches, market abuse risk assessment and other development initiatives.
  • Respond to compliance due diligence questionnaires, checklists and request for information.
  • Conduct and design tests of compliance policies and procedures pursuant to the Investment Advisers Act Rule 206(4)-7 and Investment Company Act Rule 38(a)-1.

Requirements Include:

  • College degree with 2-4 years of direct compliance experience.
  • Familiarity with Anti-Money Laundering and Financial Crime Compliance.
  • Investment Advisers Act of 1940 and Investment Company Act of 1940.

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