Compliance Analyst

Kennedy Capital Management LLC (KCM) is a St. Louis-based boutique investment firm. We're adding a Compliance Analyst to our team. Because this position works in our St. Louis, MO office, we're seeking local candidates only.

The Compliance Analyst contributes to the ongoing development of KCM's investment compliance and risk management program, providing day-to-day compliance function support.

Essential Functions

• Conduct daily trade surveillance and investigate exceptions.
• Analyze client guidelines to implement and monitor investment restrictions.
• Create and maintain internal and client restricted security lists.
• Enforce and monitor the firm's Code of Ethics requirements, reporting and approval of personal trades.
• Create and administer routine and periodic employee attestations.
• Conduct trend analysis and assist in the development and updating of surveillance routines and the production of reports.
• Monitor and prepare regulatory filings.
• Review the firm's marketing related materials and communication.
• Manage and work with custodians to establish broker-feeds related to employee personal securities trading accounts.
• Assist w/employee questions, training and recordkeeping.

Preferred Qualifications and Skills

• Requires a bachelor's degree preferably in Finance, Business or Accounting;
• Relevant experience in financial services industry is highly preferred, but we're open to candidates at different career stages. Will consider recent college graduates with high enthusiasm for accuracy and attention to detail.
• Strong verbal and written communication skills, excellent attention to detail and commitment to accuracy are necessary.
• Strong proficiency in Microsoft Excel is a must.
• Ability to work onsite in our St. Louis, MO office.

We Offer

• Excellent benefits package, compensation with bonus, and generous time off.
• Optional work remote one day per week.
• A fun, flexible and supportive work environment with opportunities for growth and development.

Kennedy Capital Management LLC is an Equal Opportunity Employer.