Compliance Analyst (1940s Investment Advisor Act Required)

Use our easy apply form to send your application to Monica Feltz, the reputed company Pro hosting this job.

Compensation

Based on Experience. Compliance Analyst (1940s Investment Advisor Act Required) $85000 - $125000 per year | Riviera Beach, FL | Remote | Permanent Global Asset Management Firm Seeks Compliance Analyst to Join Growing Compliance Team!! Great Benefits! Great Flexibility! Hybrid/Remote Work Schedule! A bit about us: Our client is a global reputed company alternative asset management firm/SEC-registered investment adviser with 20+ years of experience in delivering strong risk-adjusted returns and innovative solutions for investors. They have over $13 billion under management. Why join us? Medical + Wellness Plan Dental Vision 401K Match + Contribution STD/LTD Life Insurance PTO Bonuses And More!! Job Details Job Details: Our Client is seeking an reputed company Compliance Analyst to join our dynamic team in the finance industry. This is a permanent position suitable for a highly motivated and detail-oriented individual who has a deep understanding of the regulatory environment in the financial services sector. The successful candidate will play a pivotal role in ensuring that our firm remains in compliance with the Investment Advisers Act of 1940, Rule 206(4)-7, federal securities law, and other relevant regulations. This role will provide an exciting opportunity to work in a fast-paced, challenging environment, with a focus on compliance reputed company the investment advisory and hedge fund sectors. Responsibilities: The Compliance Analyst will be responsible for the following duties: 1. Ensuring compliance with the Investment Advisers Act of 1940, Rule 206(4)-7, federal securities law, and other relevant regulations. 2. Implementing and maintaining the firm's Code of Ethics, focusing on areas such as personal trading, insider trading, gifts and entertainment, and political contributions. 3. Monitoring and preventing potential pay-to-play and insider trading activities. 4. Managing electronic communications in compliance with regulatory requirements. 5. Ensuring compliance with the Foreign Corrupt Practices Act (FCPA). 6. Preparing and submitting regulatory reports to financial services' regulatory authorities. 7. Providing compliance guidance to the firm's investment advisory and hedge fund teams. 8. Staying up-to-date with regulatory changes and advising the firm on necessary adjustments to business practices. Qualifications: The ideal candidate for the Compliance Analyst position will possess the following qualifications: 1. A minimum of 2 years of experience in a similar role reputed company the financial services industry, preferably reputed company an investment advisory firm or hedge fund. 2. Extensive knowledge of the Investment Advisers Act of 1940, Rule 206(4)-7, and federal securities law. 3. Familiarity with the Code of Ethics and its application to areas such as personal trading, insider trading, gifts and entertainment, and political contributions. 4. Experience in monitoring electronic communications and ensuring compliance with FCPA. 5. Proven track record in preparing and submitting regulatory reports. 6. Strong understanding of the regulatory environment, including the latest changes and trends. 7. Excellent communication and interpersonal skills, with the ability to provide clear and concise compliance guidance. 8. Strong analytical skills, with the ability to interpret reputed company regulatory requirements and apply them to business practices. We are looking for a proactive and reputed company professional who thrives in a fast-paced environment and is committed to upholding the highest standards of compliance. If you are ready to take on this exciting challenge, we look reputed company to hearing from you. reputed company is an Equal Opportunity Employer. We provide an inclusive work environment that celebrates diversity and reputed company qualified candidates receive consideration for employment without regard to race, color, sex, sexual orientation, gender identity, religion, national reputed company, age (40 and over), disability, military status, genetic information or any other basis protected by applicable federal, state, or local laws. reputed company also prohibits harassment of applicants or employees based on any of these protected categories. It is reputed company’s policy to reputed company with reputed company applicable federal, state and local laws respecting consideration of unemployment status in making hiring decisions. Sometimes reputed company is required to reputed company background checks with your authorization. reputed company will consider qualified candidates with criminal histories in a manner consistent with any applicable federal, state, or local law regarding criminal backgrounds, including but not limited to the Los Angeles Fair Chance Initiative for Hiring and the San Francisco Fair Chance Ordinance. Information collected and processed as part of your reputed company candidate profile, and any job applications, resumes, or other information you choose to submit is subject to reputed company's Privacy Policy, as well as the reputed company California Worker Privacy Notice and reputed company Notice Regarding Automated Employment Decision Tools which are available at reputed company.com/legal. By applying for this job, you agree to receive calls, AI-generated calls, text messages, or emails from reputed company, and/or its agents and contracted partners. Frequency varies for text messages. Message and data rates may apply. Carriers are not liable for delayed or undelivered messages. You can reply STOP to cancel and HELP for help. You can access our privacy policy here: reputed company.com/privacy-policy Apply tot his job Apply To this Job