Sr. Analyst, Regulatory Advisory Compliance (Control Room)

About the position This position is within the North America Compliance team reporting to the Senior Manager, Regulatory Advisory Compliance - Control Room. This position will work as part of a small team and will be responsible for managing and enhancing existing compliance programs related to the Control Room including private investing, conflicts of interest, and aggregate beneficial ownership. The incumbent will support compliance professionals within North America Compliance on matters impacting Global Investments and Global Trading. The successful candidate will have strong time management and organizational skills and the ability to research and assess complex regulatory requirements.

Responsibilities

• Assist with drafting, circulating, and maintaining Control Room Memoranda and related documentation, under supervision.
• Support Control Room reporting and program execution, including drafting Board/committee materials, assisting with technology enhancements/testing, and helping maintain policies, procedures, and communications outputs.
• Conduct compliance monitoring on a variety of investment matters.
• Provide coordination and project support for the firm’s conflict of interest management program, including meeting materials, action-item tracking, and follow-ups.
• Research, identify, and track sensitive industry or issuer-specific limitations on the firm’s beneficial ownership of securities.
• Assist with the timely evaluation of confidential capital raises by companies.
• Assist with compliance matters as assigned.
• Provide advanced advice for the senior managers responsible for business unit compliance.
• Work with assigned internal clients to identify areas of program improvement, problem resolution, and follow-ups as needed.
• May act as the lead on straightforward projects driven by the needs of the business units or the chief compliance officer. Projects may be firmwide or impact the majority of business units, but are limited in risk.
• Coordinates internal and external resources to accomplish project goals, manages the project team, and follows up on project deadlines.

Requirements

• Bachelor's degree or the equivalent combination of education and relevant experience AND 5+ years of total relevant work experience
• Knowledge of FINRA, SEC and other Regulatory and Self-Regulatory Organizations rules and regulations.
• Ability to draft complex documents for the Chief Compliance Officer’s review.
• Ability to work and make decisions in a fast-paced environment.
• Strong collaboration and interpersonal skills to interface with various business unit, legal and compliance and external contacts.
• Proven time management skills, including the ability to manage several projects at once to meet deadlines.
• Demonstrates willingness to assist others within the group to accomplish common objectives
• Exceptional creative thinking and problem-solving skills
• Applicants for employment in the US must have work authorization that does not now or in the future require sponsorship of a visa for employment authorization in the United States (e.g., H1-B visa, F-1 visa (OPT), TN visa or any other non-immigrant work status).

Nice-to-haves

• 3+ years of compliance related experience.
• 2+ years of legal or regulatory experience.

Benefits

• Competitive compensation
• Annual bonus eligibility
• A generous retirement plan
• Hybrid work schedule
• Health and wellness benefits, including online therapy
• Paid time off for vacation, illness, medical appointments, and volunteering days
• Family care resources, including fertility and adoption benefits

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