Compliance Analyst

About Solomon Partners:

Solomon Partners is a leading financial advisory firm with a legacy as one of the oldest independent investment banks. Our difference is unmatched industry knowledge in the sectors we cover, creating superior value with unrivaled wisdom for our clients. We advise clients on mergers, acquisitions, divestitures, restructurings, recapitalizations, capital markets solutions and activism defense across a range of industries. Solomon Partners is an independently operated affiliate of Natixis, part of Groupe BPCE, the second largest banking group in France.

Solomon Partners’ culture is driven by integrity, deep sector expertise and building strong, working relationships. With a focus on inclusivity, we are collaborative and entrepreneurial and committed to providing clients with sound, unbiased advice.

We seek resourceful, energetic and team-oriented critical thinkers. As a result of our boutique environment, our colleagues with these skills develop important client relationships early in their careers. Those who demonstrate initiative and leadership thrive and are promoted.

Position Overview: The Compliance Analyst will support the compliance department in monitoring and ensuring the organization complies with relevant laws, regulations, and internal policies. This individual will assist in identifying risks, auditing activities, and helping maintain records, reporting, and documentation to ensure compliance efforts are met. This role is perfect for someone eager to learn about compliance procedures and develop a deep understanding of industry regulations.

Key Responsibilities:

1. Assist in Regulatory Monitoring: Support the tracking and analysis of current regulatory changes and ensure the company’s policies and practices are aligned with them.
2. Policy and Procedure Review: Help in reviewing and ensuring that company policies comply with applicable laws and regulations.
3. Documentation and Record-Keeping: Maintain accurate and updated compliance documentation, ensuring proper records are kept in accordance with internal policies and external requirements.
4. Conduct Risk Assessments: Assist in identifying compliance risks and work with senior compliance analysts to develop controls to mitigate those risks.
5. Controls Support: Help conduct and prepare evidence for internal controls.
6. Reporting: Assist in preparing reports related to compliance activities.
7. Training Support: Help in creating or updating compliance training materials and participate in internal compliance training sessions.
8. Assist with Investigations: Support investigations into compliance violations or regulatory breaches.
9. Collaboration: Work cross-functionally with legal, finance, and other departments to ensure compliance across all operations.

Qualifications:

Education: Bachelor’s degree in Business, Finance, Accounting, Law, or related field.

Experience: Prior experience in compliance, risk management, auditing, or a related field is a plus but not required. Internships or relevant coursework in compliance, law, finance, or business management is preferred.

 Skills:

·         Strong attention to detail and organizational skills.

·         Ability to work independently and in a team environment.

·         Basic understanding of regulatory compliance frameworks (such as Anti-Money Laundering, Securities Laws and Regulations, SEC and FINRA rules etc.).

·         Excellent written and verbal communication skills.

·         Proficiency in Microsoft Office Suite (Excel, Word, PowerPoint).

·         High level of integrity, professionalism and discretion.