Compliance Analyst
Position Summary
The Compliance Analyst is dedicated to providing support for the compliance program and the VP of Compliance (“VP”). The Compliance Analyst assists the VP and the Chief Compliance Officer (“CCO”) in the development, implementation, testing, and maintenance of the ongoing compliance programs of Fund Evaluation Group, FEG Investors, FEG Private Investors, FEG Investment Services (collectively, the “Advisers”), and all the proprietary funds managed by the Advisers (collectively, the “Funds”) as they relate to the firm’s regulatory obligations to the Securities and Exchange Commission (“SEC”), Financial Industry Regulatory Authority (“FINRA”) and various other state and federal agencies. Under the supervision of the VP, the position will identify and understand controls and processes, plan and execute tests to ascertain the effectiveness of the controls. Additionally, the position will assist with the preparation of regulatory filings, disclosures, compliance training, review of marketing materials, and administration of the Code of Ethics. It will require the ability to complete special projects and assist other members within the Compliance Department.
Key Responsibilities
Under the direction of the CCO and VP:
- Assist and provide support in identifying compliance and/or regulatory risks and potential risks related to rules, regulations and the policies and procedures of the Advisers and the Funds. Assist with developing, planning and performing compliance reviews and audits and documenting the effectiveness of compliance policies and procedures and internal controls.
- Assist and provide support with reviewing, monitoring and administering the Code of Ethics, including reporting violations, participating in training activities, suggesting and implementing improvements.
- Assist and provide support to the general due diligence activities of the Compliance Team.
- Conduct timely compliance reviews of advertising, marketing material and certain client communications, reports, notices and correspondence for adherence to SEC and/or FINRA requirements.
- Assist with developing content and presenting annual compliance training to the firm.
- Assist in developing and amending policies and procedures for the Advisers and the Funds to remain compliant with securities rules and regulations.
- Assist with drafting and completion of all regulatory filings such as Form ADVs and Form PF required for the Advisers and the Funds.
- Keep apprised of SEC and FINRA regulations as they relate to the Funds and the Advisers.
- Coordinate and manage special projects and initiatives as they arise.
- Provide support and guidance to the other members of the Compliance team.
Qualifications
- Bachelor’s Degree required. A degree in business related field such as finance or accounting preferred.
- 1-3 years of compliance, operations or internal audit experience at an investment management firm. One or more years of regulatory compliance experience related to SEC and/or FINRA is preferred.
- IACCP, CSCP or similar industry designation is desirable. Willingness to obtain applicable certifications and/or participate in industry training opportunities.
- Ability to provide support to the Compliance team and manage compliance routine work and special projects.
- Strong analytical skills and the ability to research, analyze, interpret and report on data and regulations.
- Excellent written and verbal communication skills and be able to work well with all levels within the organization.
- Ability to work as part of a team and independently in a fast-paced environment
- Priorities management, strong initiative and problem-solving skills
- Organized with strong attention to detail.
- Self-motivated - possess strong initiative and desire to develop their knowledge and skills