Job Overview – Compliance Analyst:
Compensation: $100,000 – $125,000/year + bonus
Location: Minneapolis, MN
Schedule: Monday to Friday (Hybrid)
Our client is hiring a Compliance Analyst in Minneapolis, MN (Hybrid), to lead key compliance programs within a global investment management environment. In this role, you will manage regulatory filings, oversee code of ethics, monitor trading activity, and execute internal compliance reviews. You’ll leverage advanced compliance software and Excel to track reporting, manage certifications, and help enhance the firm’s compliance program.
Responsibilities as the Compliance Analyst:
- Compliance Program Execution: Support the Deputy Chief Compliance Officer and global team in delivering core compliance activities and ensuring regulatory adherence.
- Ethics & Monitoring: Manage the code of ethics program, oversee daily compliance monitoring, maintain restricted lists, and review account statements and exceptions.
- Regulatory Filings & Reporting: Prepare and submit regulatory filings, maintain compliance logs, and generate periodic reports for leadership.
- Assessments & Improvement: Conduct quarterly compliance reviews, track corrective actions, and identify opportunities for process improvement.
- Support & Collaboration: Serve as a compliance resource to internal staff, liaise with investment professionals and vendors, and provide back-up coverage as needed.
Qualifications for the Compliance Analyst:
- Education: Bachelor’s degree in Business, Finance, Accounting, or a related field required.
- Experience: 1-3 years of compliance experience within investment advisory, asset management, or financial services environments (SEC investment advisor experience strongly preferred).
- Technical Skills: Proficient in Microsoft Excel and compliance software systems, with the ability to analyze data and manage reporting workflows.
- Skills & Attributes: Strong attention to detail, analytical problem-solving skills, excellent written and verbal communication, and the ability to manage competing priorities in a fast-paced environment.
Application Notice: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, Atlantic Group will keep your resume on file for future opportunities and may contact you for further discussion.