Compliance Analyst, L&G - Asset Management, America

📋 Description

• Support the Compliance Program through monitoring, surveillance, testing, and advisory activities.
• Ensure adherence to regulatory requirements and internal policies.
• Collaborate with international affiliates to align compliance standards.
• Develop workflows and document procedures for regulatory adherence.
• Cross-train to cover for team members and participate in training.
• Assist in regulatory exams, annual reviews, and audits.

🎯 Requirements

• Bachelor’s degree or equivalent combination of education and experience.
• 2-4 years of experience with an SEC-registered investment advisor.
• Understanding of equity, fixed income and derivative markets.
• Strong MS Office skills (Excel, Word, PowerPoint).
• Experience with STAR Compliance or CRIMS is a plus.
• Strong communication and problem-solving skills.

🎁 Benefits

• Eligible for annual discretionary bonus plan.
• Health insurance options including HSA, disability, dental, vision.
• 401K, vacation, sick time, employee assistance program, transit programs.
• Additional voluntary programs like accidental injury and critical illness insurance.