Compliance Analyst
100000 - 120000 USD per year
Company:Facet
Location:United States
Languages:English
Seniority level:Middle, 5+ years
Experience:5+ years
Skills:
Business AnalysisProduct OperationsProduct DevelopmentBusiness OperationsFinancial ManagementCommunication SkillsAnalytical SkillsCollaborationMicrosoft ExcelProblem SolvingCustomer serviceAccountingAttention to detailOrganizational skillsTime ManagementWritten communicationMultitaskingDocumentationComplianceAdaptabilityRelationship buildingCritical thinkingTeamworkResearchRisk ManagementComputer skillsFinancial analysis
Requirements:
5+ years of compliance experience with a Registered Investment Advisor. Willingness to learn and support the 'Facet Way' with compliance expertise. Experience working with marketing and advertising, supporting teams with compliant solutions. Experience in operations, working with custodians, and understanding trading basics. Ability for creative problem-solving to achieve balanced solutions. Experience with audits or risk assessments. Superb communication, organizational, and client service skills. Excellent computer skills and ability to learn in-house software. Ability to provide constructive feedback. Ability to work independently and as a team member, balance multiple responsibilities, and manage time/calendar effectively.
Responsibilities:
Support critical day-to-day compliance responsibilities (e.g., IAR registrations, communication reviews, OBAs). Partner with business partners to support their activities, initiatives, and compliance needs. Act as a daily resource for compliance questions and issues. Serve as a key point of contact for member issues. Support ongoing regulatory filings (e.g., ADV's) and member agreements. Work with compliance partners and external resources to maintain a forward-looking program. Support the onboarding of new hires into the compliance program. Proactively build out policies and procedures.
