Survelliance Analyst (Personal Account dealing)

About Us:

Our Client is a next generation Governance, Risk and Compliance (“GRC”) advisory firm. We provide Regulatory Compliance and Cybersecurity Risk consulting services for investment advisers registered with the Securities and Exchange Commission (“SEC”) including private fund managers, firms registered with the Commodity Futures Trading Commission (“CFTC”) and firms registered as broker-dealers with the Financial Industry Regulation Authority, Inc. (“FINRA”).

They are seeking candidates for its Managed Services group who will assist our Regulatory Compliance team in completing critical client deliverables. The ideal candidate will have (or an eagerness to develop) a deep understanding of financial services compliance regulations with experience in implementing many of the ongoing deliverables discussed below.

Key Responsibilities:

Among other tasks, Managed Services partners with Regulatory Compliance in completing the following for clients:

Electronic Communication and Social Media Reviews: Review client electronic communications and social media utilizing customized search strategies to ensure compliance with SEC regulations and internal policies and procedures.

Compliance Platform Management: Assist in the management of various compliance platforms in assisting clients with their code of ethic responsibilities.

Personal Trading Reviews: Coordinate with Regulatory Compliance to review the personal trading activity of clients.

Regulatory Filings: Prepare and submit required regulatory filings in coordination with Regulatory Compliance on behalf of clients to the SEC and other regulators, ensuring accuracy and timeliness.

Marketing Material Reviews: Collaborate with Regulatory Compliance to review and update client marketing materials to align with SEC regulations and industry best practices.

Expert Network Call Monitoring: Assist clients by chaperoning selected expert network calls to monitor for risks involving the transmission of material nonpublic information and related client policies.

Qualifications

Bachelor's degree in Finance, Economics, Business, Law, or a related field.

Approximately 2 years of experience reviewing electronic communications, personal trading for investment advisers, banks, or other financial institutions

Knowledge or ability and willingness to learn SEC regulations, the Advisers Act, and related financial industry compliance requirements.

Strong analytical, research, organizational and problem-solving skills with attention to detail.

Excellent English communication (oral, reading and writing) and interpersonal skills to work effectively with clients and colleagues.

Ability to manage multiple tasks, meet deadlines, and adapt to a dynamic and evolving regulatory environment.

High ethical standards, discretion, and the ability to handle sensitive information with confidentiality.

Experience with electronic communication platforms like Global Relay, SMARSH or personal trading platforms like COMPLY or other similar platforms is a plus but not required

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