The Compliance Analyst will work as part of the team to ensure that compliance and policies and procedures follow best practice in terms of meeting legislative and regulatory requirements.
The candidate for this role will be responsible for :
Preparation and Review of legal documents for investments.
Evaluating business activities (e.g. investments) to assess compliance risk.
Developing and implementing an effective legal compliance program
Creating sound internal controls and monitor adherence to them
Drafting and revising company policies
Monitoring compliance with laws, regulations and internal policies
Leading in the gathering of internal information in response to regulatory requests
Perform risk assessments to understand risk level, significance, and scope.
Highlighting or escalating areas of concern
Ensuring that all findings are recorded and followed up with management so that issues can be rectified.
Keeping up to date with, and understanding relevant laws and regulations
Collaborating with external auditors and HR when needed
Setting plans to manage a crisis or compliance violation
Educating and training employees on regulations and industry practices.
Addressing employee concerns or questions on legal compliance.
Keeping abreast of internal standards and business goals
Reviewing marketing materials, presentations, and websites to ensure compliance with regulatory requirements.
Performing various general administrative duties (such as file creation and maintenance of ongoing administrative projects).
Any Other Adhoc responsibilities as assigned.
Possess a strong constitution and conviction
Must be ethical and principled
Must proactive and intelligent
Familiar with all phases of development and implementation of an effective legal compliance program.
Possess strong critical thinking and attention to detail needed to evaluate business activities and assess compliance risk
Solid understanding of what is needed to form critical plans to manage crisis events or compliance violations, should they ever occur
Excellent written communication skills
Educational and Experience
Bachelor's Degree in law, finance, business administration, or a related field.
2 - 3 years of experience as a Compliance Officer within an SEC-regulated entity
Proven success in the risk management field.
Strong working knowledge of industry legal requirements and controls (e.g. Anti-Money Laundering).
Fluency in industry practices and professional standards.
Track record of integrity and commitment to professional ethics.
Strong business acumen.
Excellent collaborative teamwork skills.
Attention to detail and strategic thinking.
Professional certification (CCEP) a plus.
A highly collaborative team environment that will support your professional and personal growth
Work alongside great talent
A culture of learning and innovation
Opportunities for career growth and training
Interaction with industry leaders and forward-thinking people
A chance to make a social difference
Overall fun company