Managed Services Compliance Analyst

We are COMPLY.

For compliance people.

We pride ourselves on being the champion for compliance professionals. Merging technology, consulting and education, we help clients navigate the ever-changing regulatory environment. We serve more than 7,000 clients globally, through our solutions including ComplySci, RIA in a Box, National Regulatory Service (NRS) and illumis. We are a high-growth organization and have been recognized with numerous awards including by Inc. 5000, Institutional Asset Manager Awards, Private Equity Wire Awards, and the Women in Data & Technology Awards.

COMPLY is made up of 350+ professionals worldwide. In the US alone, we have team members in 45 states. Employees of COMPLY have access to comprehensive benefits, unlimited PTO, paid bonding leave and 100% remote work flexibility with a WFH stipend.

Come join our team of talented innovators working together to forge the next generation of compliance.

To learn more about COMPLY, visit COMPLY.com.

COMPLY is seeking a Managed Services Compliance Analyst to join our growing team! Reporting into our Compliance Manager, this person will be responsible for providing assistance on a variety of compliance and regulatory matters for financial services firm customers. Our ideal candidate is motivated, detail-oriented, and passionate about delivering high-quality services to our clients by offering innovative solutions to regulatory requirements.

Responsibilities:

• Review customer marketing materials for consistency with applicable SEC or state regulatory requirements.
• Perform trade statement analysis to identify violations of customer trading restrictions.
• Help administer customer code of ethics requirements via ComplySci platform, including:
• Employee onboarding and offboarding assistance.
• Certification and Attestation management by assisting with creation and editing of certifications.
• Employee Personal Trading system maintenance and by adding requested new accounts, reviewing preclearance request exception reports, and quarterly reporting.
• Gifts and Entertainment maintenance and administration by reviewing submissions and reporting findings.
• Outside Business Activities maintenance and administration by reviewing submissions and reporting findings.
• Private Placements administration reviews by reviewing submissions and reporting findings.
• List maintenance (restricted, auto-approve, etc.) by adding and removing securities from lists based on customer’s specific update items.
• Standard report creation and maintenance by preparing standard out-of-the-box reports from ComplySci.
• Review customer political contributions submissions via illumis platform and report any findings.
• Review customer emails using a combination of keyword flags and random sampling to identify potential issues.
• Assist with various regulatory filing processes, such as Form 13F.
• Assist Managed Services team with various other tasks.

Qualifications:

• Skilled in problem solving and analytical thinking.
• Ability to multitask in performing complex responsibilities across multiple projects.
• Excellent interpersonal skills, with the ability to manage relationships with stakeholders at all levels.
• Proficient in Microsoft Office Suite (e.g., Excel, Word, Outlook).
• Understanding of the ComplySci platform is a plus.
• Experience with Salesforce (or other CRM systems), SaaS technology, Python, SEQUEL software support is a plus.
• Ability to work effectively and flexibly within a client service-oriented, collaborative environment.
• Exceptional organizational and time management skills.

COMPLY is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, disability, sex, sexual orientation, gender identity, or national origin. Nothing in this job posting should be construed as an offer or guarantee of employment.