The Role:DC Advisory seeks an analyst to work alongside the Firm's legal and compliance teams. This position offers the opportunity for broad exposure to a variety of compliance and regulatory workstreams and the chance to be part of larger strategic discussions around the Firm's compliance processes on a forward-looking basis. The role will play an important part in helping prevent and detect violations of applicable laws, rules, regulatory requirements and Firm policies and is a key part of the Firm's focus on promoting a high standard of ethics, professionalism and accountability internally. Some of the key workstreams would include:
- Providing guidance to the business units when issues arise on policies related to the Compliance Manual, Code of Ethics, Restricted List, Anti-Money Laundering/Know Your Customer policies, Outside Business Activities, Gifts/Entertainment, etc.
- Preparing and submitting regulatory filings with FINRA (such as Form U4s and U5s) and assisting with regulatory examinations, inquiries, investigations and projects in tandem with the legal team, as necessary.
- Reviewing and approving employee compliance-related requests in the internal compliance system (e.g. gifts/entertainment, political contributions, and private investments).
- Managing key elements of the personal trading program, including account disclosures, pre-approval requests and reconciliations.
- Supporting employee onboarding, certifications, disclosures, training requirements, and compliance-related offboarding procedures.
- Supporting compliance projects, workflow enhancements, and operational improvements across compliance systems and procedures.
Position Requirements:Requirements:
- Education: Bachelor's degree is required
- Experience: At least two (2) years of experience working in a compliance position and a strong interest in acting in a compliance role within the highly regulated financial services industry
- Sound judgment, discretion and a strong commitment to confidentiality and professionalism
Preferred:
- Exposure to regulatory compliance or risk management within the financial services sector
- Experience with the FINRA regulatory framework
Qualities we seek include:
- Personal integrity, initiative and leadership qualities
- Strong multi-tasking and time management skills
- An unwavering commitment to excellence and a high degree of maturity
- A high level of initiative, motivation, attention to detail, positive attitude, and the ability to excel in a fast-paced, entrepreneurial, high performance work environment
- An outstanding academic record
- The ability to work as part of a team in an environment that demands excellence, time and energy
- Strong quantitative, verbal and written communication skills; familiarity with the financial services industry a plus
- Highly proficient with Microsoft Office suite
Compensation & Benefits:- Salary Range: $80,000 - $100,000 + annual discretionary bonus
- Medical / Dental / Vision Insurance
- Long Term Disability, Short Term Disability, Life Insurance
- Pet Insurance
- Health Savings Account
- Retirement Plans (401K)
- Pre-Tax Commuter Benefits
Working Arrangement:- Please note this position will operate in a hybrid capacity with four days on-site in our office (Monday - Thursday) with the option to work from home on Fridays.
