Analyst, Compliance Consulting

About the Role

We are looking for an Analyst to be an essential part of the Financial Services Compliance & Regulation - Compliance Consulting practice, assisting with client electronic surveillance monitoring. This role is for bright, innovative individuals with initiative who will relish taking on responsibility and thrive in a fast-paced environment. Your work will help deliver clarity to clients’ complex governance, risk, and transparency challenges.

Key Responsibilities

• Closely coordinate with the Financial Services Compliance & Regulation - US Compliance Consulting practice to manage and perform ongoing SEC compliance support services allocated to the individual on behalf of its clients (primarily hedge funds and private equity funds).
• Assist in managing and monitoring various personal trading platforms on behalf of FSCR-CC clients.
• Proactively monitor and report on potential electronic communication compliance violations on various archival platforms.
• Work closely with external vendors to troubleshoot and escalate critical systems issues.
• Actively monitor and report on potential electronic communication compliance violations.
• Stay abreast of SEC guidance regarding regulatory changes and guidance regarding electronic communications and surveillance systems.
• Experience in advising hedge funds and private equity funds is a plus.

Requirements & Tech Stack

• Bachelor’s or master’s degree in commerce, Accounting, Law, Business Administration or Management (with a concentration in Accounting, Law, Economics or Finance) from an accredited university or college.
• Proven six (6) months - 3 years of work experience in a compliance role.
• Ability to work on own initiative and as part of a team.
• Client facing, solutions focused skills and passionate to work extensively on data management.
• Clear, logical thought processes, ability to make decisions and articulate these clearly.
• Strong English oral and written communication skills.
• Time management skills and ability to work within deadlines.
• Solution-driven and problem-solving attitude.
• Legal or audit background would be useful.