CF&O Compliance - Analyst

Principal Responsibilities

• Monitoring for compliance with firm policies, including the identification and investigation of conduct related issues
• Preparing reports relating to conduct and non-conduct metrics for supervisory meetings
• Seeking and implementing automated solutions (for manual processes and anticipated future requirements)
• Leverage strong communication and relationship-building skills in frequent interaction with other areas of the firm and professionals across the globe
• Identify and effectively escalate potential issues to the appropriate person/s
• Communicate findings to compliance colleagues and suggest potential corrective actions to address issues
• Complying with internal controls, policies and procedures and regularly reviewing and updating procedures and training documentation

Experience/Skills

• Able to grasp new concepts quickly and work in a team environment.
• Excellent interpersonal and communication (written and verbal) skills.
• Self-starter, inquisitive, enthusiastic with a strong analytical mind-set
• Ability to handle multiple projects, deadlines, personalities, and broad-based coverage.
• Ability to work in a fast-paced, team-oriented environment.
• Effective problem solver, attention to detail and ability to work to tight deadlines under pressure.
• Risk management focus
• Knowledge and understanding of Excel, PowerPoint, Word, and adaptability to other software products.
• Knowledge of BI tools like Alteryx and Tableau would be an advantage but not mandatory.