Job Description

The Compliance Analyst will be expected to Support the implementation of operating procedures for the general operation of the global conflicts of interest compliance program within Wealth Research Retirement. Monitor compliance with the firm s conflicts of interest policies, including securities trading, gifts entertainment and escalate issues to management as necessary. Administer the firm s Conflicts Management System for Wealth Research Retirement globally. Document and keep records of associated controls. Support the Compliance Department in creating reports to Senior Management on a monthly, quarterly and annual basis. Work with the Compliance Department to develop, maintain and deliver compliance training and other materials. Assist with the preparation for, and conduct of, regulatory examinations. Ability to work with a global team and interact with employees at various levels of an organization. Requirements A minimum of 2 years experience in compliance and/or regulatory analysis developed in Financial Services, Accounting or Legal professions. Prior experience with Control Room functions, including preclearance of employee trades and management and use of restricted lists, is a plus. Bachelor s degree in Finance, Accounting, Commerce or Business Administration. Proficiency with Excel. Experience in implementation and monitoring adherence to corporate policies, procedures and other guidance documents. Ability to manage multiple projects concurrently in conjunction with the Compliance team. A team player with positive and proactive attitude. Strong organizational and communication skills (verbal and written). Excellent command over the English language essential (written and verbal). Strong analytical and investigative skills.