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Compliance Analyst

Job Description

Ref ID:  01300-144629

Classification:  Compliance Officer

Compensation:  DOE

Compliance Associate

The Compliance Associate will directly report to the Chief Compliance Officer. In addition to general administrative support for the Compliance function, the Compliance Associate's anticipated duties will be:

Assist with the preparation and submission of periodic regulatory filings (e.g. Form ADVs, Form 13s, CIMA, etc.).
Responsible for implementing and maintaining an online compliance reporting calendar.
Assist with monitoring the Code of Ethics.
Assist with monitoring pre and post trade compliance.
Coordinate document record maintenance and retention.
Review of marketing materials.
Coordinate special projects as necessary.
Review and maintenance of contracts (JD required).

This individual will have the opportunity to be a part of a fast paced environment with significant opportunity for growth and development.

Job Requirements

Minimum 2 years experience at a registered investment adviser or broker dealer.
Minimum requirement of a bachelor's degree. A J.D. or graduate degree is a plus, but not required.
Knowledge of the Investment Advisers Act of 1940 and/or the Investment Company Act of 1940.
Advanced knowledge of Microsoft Office including Word and Excel.
Strong attention to detail and excellent organizational skills. Creative thinker, excellent listener, and effective and responsive communicator (both verbally and in writing).
A personable team-player, with good judgment.
Ability to work independently in a fast paced environment to complete projects accurately and on time.

For interest in this role, please submit your resume to [Click Here to Email Your Resumé]

Robert Half Finance & Accounting is the world's leader in specialized financial staffing. We provide exciting full-time opportunities in the areas of accounting, bookkeeping, finance, audit, taxation and more. We pioneered the professional staffing industry, and we've been successfully matching professionals with employers since 1948. Our proven proprietary processes, along with our relationships in more than 345 locations worldwide, allow us to provide you uparalleled access to exciting career opportunities. But don't take our word for it. Our company once again was listed on FORTUNE� magazine's list of 'World's Most Admired Companies' (March 18, 2013), and 9 out of 10 of our clients and candidates would recommend our service to a colleague. Apply for this job now or contact our nearest office at 1.800.474.4253 for additional information. Robert Half Finance & Accounting is an Equal Opportunity Employer. All applicants applying for U.S. job openings must be authorized to work in the United States. All applicants applying for Canadian job openings must be authorized to work in Canada.

Job Snapshot

Contact Name Recruiter
Contact Phone 312-616-8200
Post Date 4/4/2014
Location Chicago, IL
Employment Type Full-Time
Job Type Accounting, Finance
Education 4 Year Degree
Experience At least 2 year(s)
Manages Others Not Specified
Industry Accounting - Finance, Banking - Financial Services
Required Travel Not Specified
Job ID 01300-144629
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