Senior Compliance Analyst

As an Analyst at the company, your role will involve working closely with relationship managers, account owners, and engagement leads to provide regulatory consulting services to investment advisers and other firms in the investment industry. You will be expected to go through the Analyst Training Program to acquire industry knowledge necessary for offering consulting services. Key Responsibilities: - Conduct mock SEC examination testing, compliance program reviews, and other consulting and testing engagements - Prepare preliminary drafts of reports, policies, and procedures for clients - Research novel or complex compliance issues - Perform email surveillance reviews and forensic reviews of clients' records - Participate in the Analyst Training Program, including completing topical tests and case studies - Take on ad-hoc work and special projects to support various client and internal initiatives Qualifications Required: - Bachelor's degree in compliance, criminal justice, law, business, accounting, finance, or economics preferred Skills and Attributes: - Professional integrity - Dependable, flexible, and adaptable to new initiatives - Ability to make independent judgments on significant matters - Strong organizational and problem-solving skills - Excellent oral and written communication skills - Proficiency in Microsoft Office applications Additionally, the company offers a competitive compensation package based on performance, medical coverage for employees and their families, access to Maternity Fertility and Wellness programs, Personal Accident Insurance, Group Term Life Insurance, Employee Discount programs, and Employee Resource Groups. You will also receive time off for designated ACA Paid Holidays, Privilege Leave, Casual/Sick Leave, and other leaves of absence to support your overall well-being. As an Analyst at the company, your role will involve working closely with relationship managers, account owners, and engagement leads to provide regulatory consulting services to investment advisers and other firms in the investment industry. You will be expected to go through the Analyst Training Program to acquire industry knowledge necessary for offering consulting services. Key Responsibilities: - Conduct mock SEC examination testing, compliance program reviews, and other consulting and testing engagements - Prepare preliminary drafts of reports, policies, and procedures for clients - Research novel or complex compliance issues - Perform email surveillance reviews and forensic reviews of clients' records - Participate in the Analyst Training Program, including completing topical tests and case studies - Take on ad-hoc work and special projects to support various client and internal initiatives Qualifications Required: - Bachelor's degree in compliance, criminal justice, law, business, accounting, finance, or economics preferred Skills and Attributes: - Professional integrity - Dependable, flexible, and adaptable to new initiatives - Ability to make independent judgments on significant matters - Strong organizational and problem-solving skills - Excellent oral and written communication skills - Proficiency in Microsoft Office applications Additionally, the company offers a competitive compensation package based on performance, medical coverage for employees and their families, access to Maternity Fertility and Wellness programs, Personal Accident Insurance, Group Term Life Insurance, Employee Discount programs, and Employee Resource Groups. You will also receive time off for designated ACA Paid Holidays, Privilege Leave, Casual/Sick Leave, and other leaves of absence to support your overall well-being.