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Job

Compliance Senior Analyst - Investment Advisory/Broker Dealer

A growing Financial Services client of ours based in San Diego is looking to bring in an experienced Investment Advisory Compliance professional to join its team. 

Reporting directly to the CCO, you will focus efforts around regulatory filings and supporting the wider business, with close interaction with both the Legal/Compliance teams and also internal stakeholders.

 

Responsibilities:

  • Coordinate Fund launches with project team to ensure proper legal formation of entity, including obtaining Tax ID, CUSIP, and CA state registration
    • Ensure offering documents are uploaded and available for new investors
    • Coordinate with legal counsel for corporate filings (i.e: 8K, 10K, 10Q, etc)
    • Evaluate and track portfolio compliance for Fund holdings within guidelines
    • Review, complete and coordinate checklists and requests for documents from managers, brokers, investors, and/or regulators
    • Perform ERISA and OFAC reviews
    • Complete quarterly and annual Fund reporting 
    • Maintain books and records as required by regulatory agencies
  • Compliance supervision
    • Monitor and approve reporting in Compliance system for personal trading, gifts & entertainment, political contributions and outside business activities
    • Monitor the Cyber Security program and coordinate with IT for semi-annual testing and training modules
    • Provide support to other members of compliance team as needed

 

Requirements:

  • Bachelor’s degree
  • Minimum of 2+ years of Compliance experience within the financial industry (preferably with an asset-management or broker-dealer firm)
  • Ability to work independently and in a team
  • Ability to thrive in a demanding and fluid environment with frequent changes in workflow and project priorities
  • Strong analytical and project management skills with the ability to identify issues and propose solutions
 
If you are interested in this or similar roles, please contact Matt Lang at m.lang@hamlynwilliams.com.