Senior Analyst, Compliance

MAIN RESPONSIBILITIES

The compliance analyst will be responsible for:

• Working with the Senior Compliance Manager to facilitate onboarding and training of new team members locally for respective Center of Expertise (CoEs).
• Working with the Assessment and Testing team to identify and develop testing protocols for all aspects of the Global Compliance program.
• Working with the Assessment and Testing team, to support each region and the Global Compliance program to continuously evaluate the reasonableness and effectiveness of the advisers’ policies and procedures.
• Assist with the development, implementation, and execution of different forms of compliance testing including periodic, annual and forensic.
• Analyze documents and escalate report findings to the head of Assessment and Testing.
• Participate in discussions with corresponding control and process owners.
• Interact with internal and external auditors, the risk team and other control functions as applicable.
• Assist with coordination of documents and responses for the company’s annual SOC 1 exam and all other relevant exams.
• Assist with the preparation and development of effective management reporting.

QUALIFICATIONS

• Be detail oriented with an emphasis on organization, formatting and time management.
• Have strong inter-personal and communication skills, including verbal, technical writing and editing.
• Exhibit problem-solving skills and be able to analyze data.
• Have a strong work ethic, high standards, being able to take accountability and responsibility.
• Be a team player and have an interest in building connections across the global firm.
• Exhibit strong listening and probing skills.
• Have personal integrity and be client service oriented.
• Be enthusiastic, adaptable, forward thinking, self-motivated and energetic.
• Be able to work independently and in collaboration with team members.
• Global industry exposure a plus.
• Familiarity with the Investment Advisers Act of 1940, Investment Company Act of 1940, ERISA, MIFID or other adviser related regulatory regimes.
• Good critical-thinking, research and social media tools familiarity is critical, as well as a sense of curiosity.
• Audit or securities operations experience.
• Experience reviewing investment management agreements, prospectuses, etc.

Technical Qualifications:

• Bachelor’s degree, preferably in business, finance or economics.
• Advanced knowledge of Microsoft Outlook, Word, Excel, PowerPoint.
• Experience in Bloomberg AIM or other Order Management Systems.