Compliance Analyst

1. Reviews marketing materials for a global asset manager for compliance with applicable rules and laws, including, but not limited to, SEC 206(4)-1, SEC 482, and FINRA 2210.
2. Monitors and reviews procedures and practices of partners to assure compliance with applicable regulatory requirements and adherence to internal policies. 3. Advises business partners on Compliance programs and applicable laws, regulations, rules and standards, including keeping them informed of developments or changes that may affect their area. 4. Responds to internal and external inquiries and requests for information to clarify regulatory requirements. May recommend appropriate procedural changes. 5. Assists in the development of Compliance programs and may act as a contact point within the company for Compliance inquiries from partners. 6. Identifies and documents any Compliance risks associated with the Companys activities. 7. Researches and develops analytical reports and solutions for issues being addressed by the department. 8. Participates in training partners and delivering communications on applicable laws and regulations. 9. Coordinates and/or performs activities related to designated Compliance initiatives. 10. Carries out Compliance-related activities through direct interaction with committees and management. 11. Works on projects and learning project management skills.