Compliance Analyst-in-house-Arlington, VA
Company Name:
Considine Search
Senior Compliance Analyst
Job Summary
The Senior Compliance Analyst will use subject matter expertise to perform, analyze and/or manage specific components of the compliance monitoring program. He/she will work independently, and in conjunction, with members of the Compliance team to mitigate risk to the Firm and resolve problems through the application of experience and judgment. The Senior Compliance Analyst will lead problem resolution, process improvement efforts and facilitate compliance with regulatory standards related to their area of focus. This positions area of focus is Marketing and Advertising Materials Review as described under Essential Job Functions.
Essential Job Functions
Marketing and Advertising Materials Review: The Senior Compliance Analyst will provide review of marketing materials for conformity to applicable rules and regulations promulgated under state and federal securities laws and firm compliance policies and procedures.
Ability to review complex materials and effectively communicate edits, explain the basis for the edits, and be creative in suggesting alternatives to any problematic language. Materials could include: Client/prospect presentations, conference materials, questionnaires, case summaries, presentation slides, commentaries, and website updates.
Develop disclosures where needed and maintain disclosure library.
Assist CCO in drafting compliance policy, training reminders and training materials for staff regarding global marketing, social media, and related issues.
Work closely with the firms marketing and advertising staff.
Develop and conduct forensic testing around the review of advertising and marketing materials.
Stay abreast of ever changing advertising regulations and industry standards.
Private Equity Fund Compliance: The Senior Compliance Analyst will serve as a resource to Sands Capital Ventures (SCV) to perform, analyze and/or manage specific components of the compliance monitoring program as it relates to the Private Equity Fund business.
Facilitate the review and updates of applicable policies and procedures.
Assist with SEC filings related to the business of SCV Form ADV, Form PF and Form D.
Develop and conduct forensic testing around the administration of the Private Funds.
Additional Responsibilities
Assist in the review of periodic client questionnaires.
Assist in the production and completion of the annual CCO report.
Assist in updating and monitoring of all ongoing regulatory filings 13F, 13G, 13H, ADV, and foreign registrations.
Assist in the review and production of compliance policies and procedures ensuring that regulatory policies are kept up to date.
Skills and Experience Required
Bachelors degree required
Experience required: 7-10 years of compliance, middle/back office or internal audit experience at an investment management firm;
Working knowledge of the Investment Advisers and Investment Company Act;
Experience reviewing advertising and sales literature;
Working knowledge of GIPS;
Knowledge of international investments a plus;
Knowledge of Linedatas Longview trading and compliance system and Advents APX accounting system a plus.
In addition, the ideal candidate will be:
Organized, detail-oriented and extremely thorough, while having the confidence and communication skills to ensure work processes are completed accurately and timely.
Proactive and solutions-oriented; innovative.
Learning agile, able to adapt quickly and appropriately with the constant evolution of our regulatory environment and our industry.
Collaborative and energized by the open exchange of ideas.Estimated Salary: $20 to $28 per hour based on qualifications.
Considine Search
Senior Compliance Analyst
Job Summary
The Senior Compliance Analyst will use subject matter expertise to perform, analyze and/or manage specific components of the compliance monitoring program. He/she will work independently, and in conjunction, with members of the Compliance team to mitigate risk to the Firm and resolve problems through the application of experience and judgment. The Senior Compliance Analyst will lead problem resolution, process improvement efforts and facilitate compliance with regulatory standards related to their area of focus. This positions area of focus is Marketing and Advertising Materials Review as described under Essential Job Functions.
Essential Job Functions
Marketing and Advertising Materials Review: The Senior Compliance Analyst will provide review of marketing materials for conformity to applicable rules and regulations promulgated under state and federal securities laws and firm compliance policies and procedures.
Ability to review complex materials and effectively communicate edits, explain the basis for the edits, and be creative in suggesting alternatives to any problematic language. Materials could include: Client/prospect presentations, conference materials, questionnaires, case summaries, presentation slides, commentaries, and website updates.
Develop disclosures where needed and maintain disclosure library.
Assist CCO in drafting compliance policy, training reminders and training materials for staff regarding global marketing, social media, and related issues.
Work closely with the firms marketing and advertising staff.
Develop and conduct forensic testing around the review of advertising and marketing materials.
Stay abreast of ever changing advertising regulations and industry standards.
Private Equity Fund Compliance: The Senior Compliance Analyst will serve as a resource to Sands Capital Ventures (SCV) to perform, analyze and/or manage specific components of the compliance monitoring program as it relates to the Private Equity Fund business.
Facilitate the review and updates of applicable policies and procedures.
Assist with SEC filings related to the business of SCV Form ADV, Form PF and Form D.
Develop and conduct forensic testing around the administration of the Private Funds.
Additional Responsibilities
Assist in the review of periodic client questionnaires.
Assist in the production and completion of the annual CCO report.
Assist in updating and monitoring of all ongoing regulatory filings 13F, 13G, 13H, ADV, and foreign registrations.
Assist in the review and production of compliance policies and procedures ensuring that regulatory policies are kept up to date.
Skills and Experience Required
Bachelors degree required
Experience required: 7-10 years of compliance, middle/back office or internal audit experience at an investment management firm;
Working knowledge of the Investment Advisers and Investment Company Act;
Experience reviewing advertising and sales literature;
Working knowledge of GIPS;
Knowledge of international investments a plus;
Knowledge of Linedatas Longview trading and compliance system and Advents APX accounting system a plus.
In addition, the ideal candidate will be:
Organized, detail-oriented and extremely thorough, while having the confidence and communication skills to ensure work processes are completed accurately and timely.
Proactive and solutions-oriented; innovative.
Learning agile, able to adapt quickly and appropriately with the constant evolution of our regulatory environment and our industry.
Collaborative and energized by the open exchange of ideas.Estimated Salary: $20 to $28 per hour based on qualifications.
|
|
 | |
