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.

Requirements

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 ComplySci platform is a plus.
Experience with Salesforce (or other CRM systems), SaaS technology, Python, SEQUEL software support is a plus.
Familiarity with SEC and/or state Marketing rule requirements for Registered Investment Advisers (RIAs) is a plus.

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard skills

PythonSEQUELregulatory filingtrade statement analysiscertification managementreport creationdata analysisemployee onboardingemployee offboardingpreclearance request management

Soft skills

problem solvinganalytical thinkingmultitaskinginterpersonal skillsrelationship managementorganizational skillstime managementcollaborationflexibilityclient service orientation