Financial Compliance Analyst Jobs

Salus GRC is seeking a legal and compliance professional that will work closely with the team to provide day-to-day support in the development, implementation and maintenance of compliance programs for a variety of SEC registered investment advisers, including hedge and private equity managers.

Responsibilities

• Provide broad regulatory consulting services to clients, including drafting regulatory filings, conducting compliance testing, updating policies and procedures and reviewing marketing materials.

• Assist in performing annual compliance reviews and mock SEC examinations.

• Support and manage client relationships, including addressing regulatory questions.

• Prepare and present employee compliance training.

• Review employee personal trading activity and electronic communications.

• Assist in the registration of clients as investment advisers with the SEC and the build-out of their compliance program.

• Monitor relevant regulatory changes on an ongoing basis to appropriately advise clients.

• Support clients through SEC examinations.

• Perform ad hoc compliance work for clients as well as for Salus GRC initiatives.

Qualifications

• Bachelor’s degree is required and a JD is strongly preferred.

• Industry experience of 0-4 years.

• Demonstrated interest and basic knowledge of SEC rules and regulations.

• Previous regulatory experience is a plus.

• Strong research skills with an ability to effectively communicate with clients.

• An independent self-starter that is capable of multi-tasking across clients.