Position: Analyst, Compliance
Reports to: Chief Compliance Officer
The compliance analyst will focus on the core compliance processes of the firm to meet the business objectives defined by the management team.
Duties and Responsibilities:
- Monitoring compliance with the Firm’s Code of Ethics (e.g., manage submissions for employee personal trading, outside business activities, private transactions, political contributions and gifts and entertainment) using the Firm’s StarCompliance system
- Maintaining Code of Ethics metrics (insider trading/frontrunning tests, policy breach oversight, etc.)
- Maintaining the Firm’s restricted list
- Assisting with Firm trade surveillance via Bloomberg
- Maintaining the compliance calendar and track project and compliance plan deliverables
- Providing compliance onboarding for new hires and supporting the overall compliance training program
- Supporting the compliance risk assessment process and the compliance testing program.
- Provide data entry and data quality support for regulatory filings (Form ADV, Form PF, Form 13F, etc.)
- Collaborating with various teams in gathering information and reviewing responses for regulatory examinations, internal audits, and regulatory investigations and inquiries
- Performing other related duties and ad hoc projects as assigned
- Bachelor’s degree or equivalent
- Two to four years of Advisers Act-related compliance experience at an SEC-registered investment adviser
- General familiarity with the Investment Advisers Act of 1940
- High intellectual curiosity
- Detail oriented with strong analytical and problem-solving skills
- Excellent PC skills including strong proficiency in: Word, PowerPoint, SharePoint and Excel.
- Strong writing skills with the ability to summarize and digest content quickly and clearly
- Ability to multi-task effectively
Please send your resume to ComplianceRecruiting@wafra.com with the subject line “Compliance Analyst”.
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