The Managed Services Analyst reviews e-communications, performs regulatory filings, trade statement analysis, and assists with compliance tasks for financial services clients.
Who Are We:
Comply is the leading provider of compliance SaaS and consulting services for the global financial services sector. With more than 5,000 clients and hundreds of employees across the globe, Comply empowers Chief Compliance Officers and their teams to proactively manage regulatory obligations, mitigate risk, and scale with efficiency and confidence.
Comply serves thousands of global financial services clients including broker-dealers, insurers, investment banks, private funds, RIAs, and wealth managers who rely on Comply offerings to power their compliance programs.
To learn more about Comply, visit comply.com
The Role:
Comply is seeking a Managed Services Analyst to join our growing team. Reporting to the Director of Managed Services, the Managed Services Analyst is responsible for reviewing e-communications and marketing materials, performing trade statement analysis, executing regulatory filings, and completing other regulatory compliance tasks for financial services clients.
Responsibilities
- Review client emails using a combination of keyword flags and random sampling to identify potential issues.
- Assist with various regulatory filing processes, such as Form 13F.
- Review client marketing materials for consistency with applicable SEC or state regulatory requirements.
- Perform trade statement analysis to identify violations of client trading restrictions.
- Help administer client code of ethics requirements via Comply platform, including:
- Employee onboarding and offboarding assistance.
- Certification and Attestation management by assisting with creation and editing of certifications.
- Employee Personal Trading system maintenance 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.
- List maintenance (restricted, auto-approve, etc.) by adding and removing securities from lists based on client’s specific update items.
- Standard report creation and maintenance by preparing standard out-of-the-box reports from Comply.
- Review client political contributions submissions via Comply’s Illumis platform and report any findings.
- 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 various stakeholders.
- Proficient in Microsoft Office Suite (e.g., Excel, Word, Outlook).
- Ability to work effectively and flexibly within a client service-oriented, collaborative environment.
- Exceptional organizational and time management skills.
- Understanding of the Comply platform is a plus.
- Experience with Salesforce (or other CRM systems), SaaS technology, Python, SQL software support is a plus.
- Familiarity with SEC and/or state Marketing rule requirements for Registered Investment Advisers (RIAs) is a plus.
To learn more about our values, mission and the wide-range of perks offered to employees at Comply, visit https://www.comply.com/careers/.
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.
Applicants must be authorized to work for any employer in the United States. Currently, we are unable to sponsor or take over sponsorship of an employment Visa at this time.
Comply is aware of scammers posing as Comply employees and extending job offers via direct messaging, texts and social media platforms. These are fraudulent and should be treated as such. To learn more about this, please review our Statement of Fraudulent Job Offers.
Top Skills
Microsoft Office Suite
Python
Salesforce
Sequel
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