Managed Services Compliance Analyst

As a Managed Services Compliance Analyst at COMPLY, your primary responsibilities include reviewing customer marketing materials and trade statements for regulatory compliance, helping administer code of ethics requirements, managing employee personal trading systems, and assisting with various regulatory filing processes. You will also oversee compliance for gifts, entertainment submissions, and outside business activities, ensuring that our clients operate within the regulatory framework.

To qualify for the Managed Services Compliance Analyst position at COMPLY, candidates should possess strong problem-solving and analytical thinking skills, excellent interpersonal abilities, and familiarity with Microsoft Office Suite. Experience with the ComplySci platform, Salesforce, SaaS technology, or programming languages like Python is an added plus. Organizational skills and the ability to multitask across various compliance projects are essential for this role.

While previous compliance experience can be beneficial for a Managed Services Compliance Analyst position at COMPLY, it's not strictly required. What’s more important is a strong willingness to learn, a detail-oriented mindset, and the ability to adapt to various regulatory environments. The right candidate can quickly gain the necessary expertise with our comprehensive training and support.

The expected salary range for a Managed Services Compliance Analyst at COMPLY is between $55,000 and $65,000 annually. This compensation range takes various factors into consideration, including skills, training, certifications, and relevant experience in the field.

At COMPLY, a Managed Services Compliance Analyst can look forward to an inclusive array of benefits, including unlimited PTO, access to paid bonding leave, and the flexibility of remote work along with a work-from-home stipend. Additionally, you will receive opportunities for professional growth and development in a supportive and innovative work environment.

To ensure compliance in marketing materials, I typically start by conducting a thorough review against applicable SEC or state regulatory requirements. Maintaining a checklist helps in verifying that all essential elements comply with regulations and that standard practices are followed to avoid potential violations.

I have been involved in various regulatory filing processes, particularly with Form 13F. My approach is to stay updated on filing deadlines and requirements, ensuring that all necessary documents are accurate and submitted on time. I also work closely with relevant stakeholders to gather required information and prepare filings meticulously.

When managing multiple compliance projects, I prioritize tasks based on urgency and importance. I utilize project management tools to create timelines and milestones, ensuring that high-priority items are addressed first while consistently tracking progress across all projects for timely completion.

In a previous role, I faced a challenge with inconsistencies in trade statements that suggested potential compliance violations. I initiated a detailed analysis, collaborating with the trading team to review transactions and identify issues. Through open communication and thorough documentation, we developed corrective measures that improved compliance moving forward.

Teamwork is crucial in compliance management as it fosters collaboration and leverages diverse expertise. I believe in open communication and actively engaging with colleagues to gather insights, share challenges, and develop effective compliance strategies that align with organizational goals.

I stay current with compliance regulations by subscribing to industry newsletters, participating in webinars, and engaging with professional organizations related to financial services. Additionally, I actively seek opportunities for continuous learning to enhance my understanding of evolving compliance landscapes.

To analyze potential compliance issues, I employ a combination of quantitative methods, such as reviewing data analytics and trade records, alongside qualitative methods, including conducting interviews with stakeholders. This comprehensive approach ensures a thorough understanding of potential risks and allows me to propose effective solutions.

In my previous position, I recognized inefficiencies in the certification management process. I implemented an automated system that streamlined the certification collection and tracking process, reducing timelines and enhancing accuracy. The improvement significantly increased our compliance efficiency while ensuring higher stakeholder satisfaction.

In preparing for an audit from a regulatory body, I would begin by conducting a thorough internal review of our compliance documentation and associated processes. This pre-audit ensures that everything is in order, and I would also coordinate with relevant team members to address potential issues proactively, ensuring the audit process is smooth and transparent.

The greatest challenge facing compliance professionals today is the rapidly changing regulatory landscape. With new rules and regulations emerging frequently, staying informed and agile is critical for ensuring adherence. Embracing technology and continuous training can help to navigate these challenges effectively.