Analyst, Compliance Consulting

About the Role

An Analyst position within the Financial Services Compliance & Regulation - Compliance Consulting practice, focusing on client electronic surveillance monitoring. This role requires proactive, innovative individuals with initiative and a desire to take on responsibility in a fast-paced environment.

Key Responsibilities

• Coordinate with the Financial Services Compliance & Regulation - US Compliance Consulting practice to manage and perform ongoing SEC compliance support services for clients, primarily hedge funds and private equity funds.
• Assist in managing and monitoring various personal trading platforms on behalf of 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.
• Stay abreast of SEC guidance regarding regulatory changes and guidance on electronic communications and surveillance systems.
• Experience 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 to 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 passion for extensive data management.
• Clear, logical thought processes, ability to make decisions and articulate them 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.