POSITION PURPOSE:
The Senior Compliance Analyst will be responsible for acting as one of the primary points of contact for the corporate office for all matters related to compliance with our Code of Ethics and compliance policies and use of compliance-related reporting systems, and assisting the Compliance team with day-to-day operations.
ESSENTIAL FUNCTIONS:
- Assist with Code of Ethics-related questions, including those related to personal trading, political activity and gifts and entertainment
- Oversee and administer the Firm’s automated compliance systems, including, compliance certifications campaigns, connecting, terminating and reconciling brokerage account feeds, monitoring personal securities transactions, political contributions and outside activities reporting and managing related disclosures and preapproval requests
- Coordinate new employee onboarding and compliance reporting
- Conduct in-person new hire training on compliance-related policies and procedures
- Investigate and document suspected and actual violations of firm policies
- Assist with the administration of the Firm’s anti-money laundering policies and procedures, including the performance of OFAC checks
- Assist with quarterly and annual testing and monitoring of policies and procedures
- Respond to requests to access a third-party virtual data room and maintain associated records
- Update the Firm’s Restricted List, Watch List and Private Companies List
- Reconcile investment transactions with investment compliance forms and maintain associate records
- Draft and distribute compliance department communications to convey and reinforce applicable laws and regulations, ethical standards and compliance policies.
- Provide guidance and training, as necessary, to third-party compliance service providers.
- Assist with compliance project initiatives.
- Coordinate quarterly and yearly documentation as per auditors’ requests.
- Assist with the development and update of compliance policies and procedures and department desktop procedures.
- Assist Compliance Team with Form ADV and Form PF filings.
- Assist with the monitoring of Firm electronic business communications program, including email review, updates to automated email archive system, as appropriate, and mobile device management systems.
EDUCATION/EXPERIENCE REQUIREMENTS:
- Bachelor of Arts or Bachelor of Science with related experience or equivalent experience in Compliance
- Minimum of 4 year’ experience in Investment Advisers compliance
ABOUT YOU:
- Ability to read and interpret applicable regulations and regulatory guidance, including the Investment Advisers Act of 1940 and Investment Company Act of 1940
- Ability to develop and maintain effective working relationships, including but not limited to providing guidance to employees and service vendors and applying appropriate judgment and insight on project initiatives
- Ability to maintain strict confidentiality and discretion in handling highly sensitive and confidential matters.
- Ability to communicate, orally and in writing, with individuals at all levels of CIM and with outside law firms, regulatory agencies and the like.
HOW WE FEEL ABOUT DIVERSITY AND INCLUSION:
CIM Group is committed to bringing together humans from different backgrounds and perspectives, providing employees with a safe and welcoming work environment free of discrimination and harassment. We strive to create a diverse & inclusive environment where everyone can thrive, feel a sense of belonging, and do impactful work together. As an equal opportunity employer, we prohibit any unlawful discrimination against a job applicant on the basis of their race, color, religion, gender, gender identity, gender expression, sexual orientation, national origin, family or parental status, disability*, age, veteran status, or any other status protected by the laws or regulations in the locations where we operate. We respect the laws enforced by the EEOC and are dedicated to going above and beyond in fostering diversity across our workplace.
*Applicants with disabilities may be entitled to reasonable accommodation under the terms of the Americans with Disabilities Act and certain state or local laws. A reasonable accommodation is a change in the way things are normally done which will ensure an equal employment opportunity without imposing undue hardship on CIM Group. Please inform our Talent team if you need any assistance completing any forms or to otherwise participate in the application process.
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