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Compliance Analyst

Schroders Investment Management
New York, United States
Posted 6 days ago Permanent Competitive
Compliance Analyst
Position Overview
This position requires a positive attitude and energy to learn and collaborate with other team members to gain a good understanding of US securities regulations, and, in particular the Investment Advisers Act. The successful candidate must be able to support the Compliance team in maintaining a compliance surveillance, monitoring and testing program, with appropriate direction. The successful candidate should have superior communication and written drafting skills in order to draft memoranda and reports to senior management and internal governance committees, and ability to utilize technology systems to review and manage exception reports.

Responsibilities
Responsibilities will include supporting the wider team in maintaining an investment advisory, commodity trading adviser and broker-dealer compliance program including:
  • Review exception reports generated by internal compliance systems including employee personal securities transactions under the firm's Code of Ethics.
  • Review and update of firm compliance policies and the procedures relating to monitoring and testing of the implementation of those policies.
  • Assist in records production in response to regulatory, internal audit or client requests.
  • Review daily shareholding records to ascertain whether shareholding disclosure reporting requirements have been triggered.
  • Prepare SEC, CFTC, State and Federal Reserve regulatory filings and ensure timely filings, including tracking filing calendar requirements.
  • Prepare reports for sub-advisory relationships, institutional due diligence meetings and request-for-proposal "RFP" requests.
  • Prepare broker correspondence at the direction of senior team members.
  • Prepare and file firm regulatory forms including Form ADV for registered advisers and Form BD for broker-dealers, at the direction of senior team members.
  • Prepare registration filings for US and Canadian regulators.

Basic Qualifications
  • BA/BS Degree preferred
  • Strong communication skills, written and spoken
  • Thoroughness and attentiveness to detail
  • Eagerness to learn, positive attitude and good team player
  • Demonstrated ability to understand and comprehend relatively complex concepts
  • Summer intern or other demonstrated interest in financial services, ideally working within an investment adviser or equivalent experience

Preferred Qualifications
  • Excellent judgment and problem-solving skills
  • Ability to multi-task and manage competing priorities while meeting deadlines
  • Experience with Microsoft Office Suite (MS Outlook, Word, Excel and PowerPoint)
  • While Schroders supports flexible working, the expectation is to work a majority of the time in the office, with other team members

ADA
Schroder Investment Management North America Inc. complies with the Americans with Disabilities Act of 1990.
EEO/Affirmative Action
Schroder Investment Management North America Inc. is an affirmative action-equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, religious creed, age, marital status, national origin, ancestry, sex, sexual orientation, gender identity or expression, intellectual disability, mental disability or physical disability, including, but not limited to, blindness, or protected veteran status.

Job ID  4565
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