Compliance Specialist
Our client is a leading financial sciences firm that leverages advanced data analysis, innovative thinking, and rigorous research to address complex challenges in investment management, private equity, and venture capital. The company's multidisciplinary team of experts develops creative solutions for some of the world's most intricate economic problems.
Role Overview:
They are seeking a dynamic compliance professional to join their investment management compliance team. This role focuses on supporting research business platforms and ensuring robust compliance processes across a variety of business initiatives. The ideal candidate is detail-oriented, collaborative, and passionate about finance, data, and technology.
Qualifications
- 4-7 years of experience in compliance, regulatory law, or as a regulatory consultant within the financial sector.
- Strong analytical skills, intellectual curiosity, and a keen interest in finance, data, and technology.
- Exceptional organizational abilities with a talent for designing efficient processes and documentation.
- Experience building and operating compliance testing and surveillance systems that utilize data integrations.
Responsibilities
- Manage onboarding processes for contributors to research and insight platforms, including financial professionals and public company management.
- Oversee compliance programs for internal analysts and research platforms, with a focus on discretionary and fundamental research.
- Develop, implement, and standardize internal compliance policies across the organization.
- Collaborate with legal and business partners to address compliance needs, review contracts, and stay ahead of regulatory developments.
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