Compliance Analyst

Company Description

Registered Investment Advisor (RIA)

Job Description

  • Oversee Investment Adviser and Mutual Fund policy manual updates
  • Monthly, quarterly and annual back-testing of policies and procedures
  • Review marketing materials and website content
  • Ongoing maintenance of books and records, including all applicable regulatory filings (13F, 13H, 13G/D, Form 3/4/5, ADVs)
  • Oversee proxy voting process
  • Assist with annual Compliance review
  • Pre-clear and monitor employee personal trades, gifts and entertainment
  • Prepare scheduled and ad hoc Retail Board reports. Assist with review of Retail Board meeting minutes
  • Participate in Prospectus and Statement of Additional Information (SAI) updates


•    INVESTMENT COMPANY ACT OF 1940 Compliance experience
•    3 or more years of relevant work experience
•    Advanced experience in MS Office: Word, Excel, Outlook
•    Team-oriented with follow-through skills
•    Excellent communication (verbal/written) and business management skills
•    Experience with Bloomberg, preferred
•    Bachelors Degree

Additional Information

This is a full-time permanent position. In addition to salary,  the position will offer benefits that are available to all Company employees.

Competitive salary and benefits package Base Salary: Cash Bonus potential.


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