We are representing a well-established $7billion private investment firm in their search for a Senior Compliance Analyst in Seattle, WA
Why Join Us:
• Opportunity to work alongside firm’s Chief Compliance Officer/Senior Counsel/Managing Director to further develop your exposure and expertise
• Established firm and long tenured team
• Company culture of compliance and ethics, with top-down support for the program
• Collaborative team-approach, including social and community events
• Competitive compensation and excellent benefits
Responsibilities:
• Reporting to the Chief Compliance Officer/Senior Counsel/Managing Director
• You will be responsible for supporting the compliance program, working closely with the Accounting and Finance, Portfolio Management and Due Diligence, Treasury and Legal teams
• Perform existing and help design and implement new and/or improved testing procedures to evaluate policies and procedures in Code of Ethics and Regulatory Compliance Manual
• Manage employee personal securities trading, political contribution, outside position, and gifts and entertainment reporting and oversight platform
• Manage compliance program for investor side letters
• Assist in managing processing of various fund product and portfolio related legal agreements
• Manage and/or assist with legal and/or compliance projects as necessary
• Assist in meeting deadlines to fulfill SEC and other applicable filings and requirements
• Support annual compliance program review, including conducting tests / audits of the firm’s internal controls in collaboration with external consultant
• Provide training on the firm’s policies and use of the firm’s systems for monitoring and reporting activities; Engage with and be a resource to co-workers at all levels on the firm’s internal control policies and their application and effective implementation to the business
• Support CCO in performing internal compliance reviews and monitoring activities, including periodic reviews of business units’ policies, procedures, processes
• Monitor and review reporting systems and employee investment activity
• Conduct compliance tests and/or reviews as directed by the CCO, identify discrepancies, and support the business from a technical perspective in developing appropriate remedial actions
• Maintain knowledge of current applicable regulatory requirements; Provide sound technical support on the complex interpretation and understanding of new regulations and policy requirements
Qualifications:
• Essential Education: Bachelor’s Degree
• Desirable Certification: IACCP – support and funding provided to secure within 24 months of hire
• You will bring several years of investment adviser/private investment fund compliance experience, including exposure to code of ethics, regulatory filings and compliance training and communication
Application Process for Senior Compliance Analyst:
Qualified professionals are to submit resume to Steve Harrison: steve@conselium.com
