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We are looking for a Compliance Analyst with experiencing managing a registered investment adviser’s Code of Ethics program to join our collegial team. In this dynamic role, you’ll help establish collaborative relationships with business partners in order to best promote a culture of compliance.
Key Responsibilities:
Support the firm’s Code of Ethics program by managing conflicts associated with political contributions, gifts and entertainment, outside business activities and personal trading in ComplySci (ComplianceScience, which is the firm’s Code of Ethics reporting system).
Maintain the integrity of the firm’s personal securities account electronic brokerage feeds, including timely reporting of new accounts, retiring closed accounts, and ensuring the firm’s brokerage feeds are feeding in a continuous manner.
Provide primary support for quarterly transaction reporting and annual holdings and transaction reporting. Tabulate Code of Ethics violations on a monthly and quarterly basis for reporting to the firm’s Compliance Committee, Internal Audit and sub-advised client relationships.
Own the firm’s annual compliance attestation processes.
Perform surveillance and testing activities in areas that support the 206(4)-7 risk assessment and annual review process, including drafting reports and compiling data related to these areas.
Provide primary support for the firm’s FinCEN monitoring program and take on additional anti-money laundering and suspicious transaction monitoring and reporting.
Work closely with other members of the Legal & Compliance Team to work through information barrier and restricted list issues regarding the receipt of sensitive information received from sources both internal and external to the firm.
Desired Profile:
3-5 years of experience at a registered investment adviser or large asset management firm
LAM Securities will sponsor a qualified candidate’s registration for the Series 7 and 24 (as necessary); preference is for candidate to have both Series at the time of hire
A high level understanding of marketing review experience at a large adviser or alternative adviser that offers some retail products as well as institutional services
Entry-level knowledge of regulatory requirements applicable to US investment advisers and broker-dealers, including the Investment Advisers Act and FINRA Rules
Excellent verbal and written communication skills.
High motivation to take on compliance responsibilities across an asset management compliance program, with an ability to independently prioritize work to meet multiple tight deadlines while paying attention to detail in a fast-paced environment.
Compensation Range : $95k-$110k Base(approximately)
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