Compliance Analyst

Compliance Analyst

Professional position responsible for supporting important regulatory compliance functions on the Regulatory Compliance Team in the Regulatory Operations (RegOps) Unified Services - Regulatory Support Group. The individual will work independently on assigned tasks and projects, contributing directly to the team's ability to fulfill its compliance obligations and support client's mission of investor protection and market integrity.

Key Responsibilities

• Policy & Procedure Management – Serves as the designated Document Owner for RegOps policies and procedures, ensuring department-wide documentation is accurate, current, and consistently maintained. Responsibilities include drafting and publishing updates, coordinating stakeholder input and approval, conducting periodic reviews, and assessing the impact of organizational changes. Also supports regulatory and stakeholder requests requiring careful retrieval, review, and handling of policy materials.
• Bank Secrecy Act (BSA) Program Management & Oversight – Supports the administration and oversight of the BSA program, a highly regulated and important compliance function. Responsibilities include participant onboarding and training, helping to resolve staff inquiries, compliance monitoring, and auditing activities. Requires the ability to handle sensitive information with discretion and a commitment to maintaining program integrity.
• Conflict of Interest (COI) Policy Liaison Support – Plays a key role in upholding the integrity of client's enterprise-wide COI program in close coordination with RegOps staff and the Ethics Office. Responsibilities include reviewing conflict alerts, researching potential conflicts, advising staff on COI policies and procedures, and assisting with the drafting of conflict memoranda. Strong judgment, discretion, and precise written communication are essential.
• SEC Reporting Request Coordination – Supports the timely and accurate compilation of materials responsive to SEC Periodic and Regular Reporting requests, requiring strong organizational skills, attention to detail, and sound judgment in the handling and review of responsive materials.
• Additional Regulatory Compliance Support – Provides broad support across the Regulatory Compliance team, including research and analysis, meeting preparation, audit tracking, and process improvement initiatives. The ability to adapt across multiple functions and consistently deliver quality work is essential.

Required Qualifications

• Bachelor's degree or equivalent experience in business, finance, law, public policy, or a related field.
• Strong oral and written communication skills, including the ability to draft, edit, and present information clearly and precisely.
• Strong organizational skills and attention to detail, with the ability to manage multiple assignments concurrently and deliver quality work under tight deadlines.
• Strong interpersonal skills, with the ability to collaborate effectively with diverse stakeholders and work independently.
• Proficiency with standard office and document management tools.
• Demonstrates client's values and collaborates, both in-person and virtually, in furtherance of client's mission of investor protection and market integrity.

Preferred Qualifications

• Prior experience in regulatory compliance or financial services, with working knowledge of the securities industry and relevant regulatory frameworks, strongly preferred.

Key Competencies / Skills

• Policy documentation and management
• BSA program administration
• Conflict of interest review and advisory
• SEC reporting coordination
• Research and analysis
• Process improvement
• Attention to detail and multitasking
• Stakeholder collaboration
• Written and verbal communication

Working Conditions

• Hybrid work environment, with defined in-person presence requirements.
• Extended hours may be required.