Compliance Analyst supporting the management of compliance models and processes at Tenpo. Contributing to building a solid compliance culture focusing on crime prevention and data protection.
About the role
- Director managing compliance solutions for clients in the asset management industry, focusing on regulatory obligations and program reviews with a hybrid work setting.
Responsibilities
- Maintain Code of Ethics programs for clients
- Conduct and assist with annual review obligations, including electronic communications surveillance
- Conduct and assist with the preparation of regulatory correspondence including SEC, CFTC, and SRO examinations and inquiries
- Complete and assist in registration projects for RIA, ERA, and BD clients
- Prepare regulatory filings such as Form ADV, Section 13 filings, Form PF, Form PQR, among others
- Conduct regular reviews of compliance programs including anti-money laundering
- Some travel may be required (>25%)
Requirements
- 7+ years’ experience working in financial services as a fund or broker dealer accountant or legal or compliance professional
- Experience or technical understanding of trading strategies and the financial markets is highly desirable
- Excellent English language skills, excelling in both written and oral communication
- Experience with Microsoft Office including excellent Excel skills is desirable
- Strong analytical skills are a must.
- Ability to analyze and interpret basic data with a keen eye for detail
- Strong independent motivation and the ability to thrive in an independent work environment.
Benefits
- Health insurance
- Flexible work arrangements
Job title
Job type
Experience level
Salary
Not specified
Degree requirement
Location requirements
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