Compliance Analyst
At Parametric, we offer competitive salaries, generous benefits and opportunities for growth and development. We invite you to explore our available job opportunities listed below and look forward to having you become a part of our continued success!
General Description
Growing investment advisory firm seeks Compliance Analyst with strong desire to learn and grow with the firm. Position involves both regular (daily, weekly, monthly, quarterly) compliance tasks and day-to-day collaboration with Parametric’s twelve person Compliance team. Ideal candidate has 1-3 years of investment management experience, preferably in operations, trading, or audit. Previous compliance experience is not required.
Primary Responsibilities
- Collect, review and maintain employee Compliance forms and personal account information in accordance with firm policies and procedures
- Manage the completion of numerous regular (monthly, quarterly and annual) client compliance certifications, questionnaires and information requests
- Assist in the preparation of various state and federal agency regulatory filings, reports and registrations
- Participate in compliance testing of firm policies and procedures in accordance with SEC Rule 206(4)-7 and work with the applicable departments to revise, document and implement revisions
- Research and interpret industry rules and regulations and SEC no-action letters
- Develop comprehensive understanding of Star Compliance, the system used for monitoring employee personal trading activity, gifts, entertainment, outside business activities, and political contributions.
- Obtain understanding of regulations (e.g. SEC, 1940 Act, ERISA, state, foreign) governing Parametric's business through ongoing education and involvement with industry groups
- Assist Compliance Group on major projects and forensic reviews
- Assist in drafting a variety of certificates, documents, questionnaires, procedures and letters relating to firm and client compliance
Job Requirements
- Bachelor’s degree or equivalent combination of experience and education required
- Previous compliance experience is not required
- 1-3 years of industry-related experience, preferably in operations, trading, or audit
- Strong computer skills: knowledge of Microsoft Office suite
- Strong eye for detail
- Good customer service skills; involves interaction with internal and external customers
- Strong desire to learn and take on new assignments that will progress a career in compliance
- Excellent communication skills—written and verbal
- Excellent organizational skills
- Must be able to work well independently and be a team player
- Ability to adapt to change in a dynamic and often fast-paced work environment
- Demonstrates ability to meet deadlines
- Demonstrates ability to maintain confidentiality of sensitive information