Compliance Analyst Jobs

Position Summary

This is a great opportunity for candidates in the early stage of their careers in Compliance. The Compliance Analyst will be involved with a variety of tasks to assist TCW’s Compliance Department. The incumbent will primarily be supporting the team in managing Firm’s Code of Ethics and personal trading policies, working with and learning about various compliance software for internal processes, and producing regular and ad-hoc reports. In addition, the position will respond to client due diligence requests and provide departmental administrative assistance, such as assist in the development of controls and system enhancements to improve the Firm’s compliance program.

The incumbent must have strong attention to detail and the ability to liaise with employees to ensure all necessary information is provided to the Firm to enable Code of Ethics monitoring in accordance with regulatory requirements. The incumbent must also be able to work autonomously with minimal supervision and works well with others across the team. Independent judgment is required to plan, prioritize and organize a diversified workload.

Essential Duties

• Review Compliance systems and employee investment account statements for unauthorized trades; log and forward any identified items to the Administrator of Code of Ethics
• Assist in the following regulatory tasks and oversight:
• Maintain electronic and hard copy records, ensure that they are timely received, logged and processed
• Contact employees to ensure timely filings of initial, quarterly, and annual certifications
• Lobbyist reporting
• Assist in responding to inbound quarterly and annual compliance reports and provide responses to client related RFP’s, RFI’s, and questionnaires
• Track employee training data on automated systems and maintain various reports
• Maintain Restricted List updates
• Provide assistance in Code of Ethics related matters, including but are not limited to:
• FINRA Form updates to U-4, U-5, Form BD filings
• Pre-clear employee requests on personal trading transaction, gift & entertainment, outside business activity, and political contribution
• Provide support to other members of the Compliance team and assist with FINRA and SEC filings
• Support and assist with special projects and ad hoc requests/ tasks as required
• NFA registration, quarterly, and annual required filings

Required Qualifications

• Bachelor’s Degree and 2 years of equivalent work experience in financial services back-office functions. Ideally securities regulatory compliance experience, although will consider accounting, investor services, audit/policy, or similar process-driven and detail-oriented experience in financial services.
• Proficiency in Microsoft Office applications including Word, Excel, PowerPoint, and Outlook

Professional Skills Qualifications

• Excellent written and verbal communication skills; possess strong telephonic, data entry and proofing skills
• Must have outstanding attention to detail and organization skills; possess the ability to spot issues and respond timely
• Ability to handle sensitive and confidential information
• Willingness to learn investment management compliance, personal trading review, review of marketing materials and subscriptions, and the preparation of SEC regulatory filings
• A team player who collaborates effectively with colleagues at all levels and works well independently; applies proper judgment and escalates matters appropriately

Desired Qualifications

• FINRA license (Series 7, 24) preferred
• Ability to conduct complex Internet research assignments
• Experience with fixed income and various investment products including open-end funds, closed-end funds, ETFs, and private funds
• Exceptional analytical and investigative skills, experience partnering with business and investment colleagues and aptitude for working efficiently in large organizations
• 2 to 5 years of relevant investment operations, compliance and/or paralegal experience in financial services industry related to compliance responsibilities

Estimated Compensation

Base Salary: For CA based position, the base salary range is $75k to $85k. This is an anticipated range only.

Other Compensation: Eligible to be considered for an annual discretionary bonus

Benefits: Eligible for TCW’s comprehensive benefits package. See more information here .