Senior Compliance Analyst, Global Investment Manager, Philadelphia, PA
Selby Jennings Buyside
February 27, 2018
My client is a global financial institution seeking a Senior Compliance Analyst for their investment management business located in the Philadelphia area. This firm has a global presence and has continued to rapidly grow by serving its institutional and individual clients in an accountable and active manner. This role serves on the compliance team within the office working with heads of the business and senior risk and compliance individuals based in the area. The compliance team has responsibility for the advisory and distribution activities for the firm, and also is responsible for the annual reviews and testing of the firm's risk and compliance policies.
This role will be involved with adviser oversight, advertising and market review, investment guidelines, surveillance, and the company code of ethics. You will be a part of a team of compliance analysts and assist in the development of the global asset management compliance platform. This role will require the ability to effectively communicate and convey information to stakeholders, counsel, investment professionals, and others surrounding complex compliance matters.
3-5+ years of experience in an investment advisory or broker-dealer compliance function
Experience with advertising review, sales literature, surveillance, and training
Strong communication skills and the ability to work independently and as a teammate
FINRA Series 7, 63 or ability to acquire
KEYWORDS: COMPLIANCE; RISK MANAGEMENT; RISK ASSESSMENT; BROKER DEALER; INVESTMENT MANAGEMENT; ASSET MANAGEMENT; PHILLY; PHILADELPHIA; PENNSYLVANIA; MBA; JD; SERIES 7; SERIES 63; FINRA; REGULATORY COMPLIANCE; ADVERTISING REVIEW; MARKETING REVIEW; TRAINING; SURVEILLANCE; POLICIES AND PROCEDURES; GOVERNANCE; ANALYST; GLOBAL