Dallas, United States

Compliance Analyst

Full-time / part-time
Full-time
Level
Associate
Department
Compliance & Risk
Address
2777 North Stemmons Freeway
Dallas
75207
United States

Job description

Responsibilities: Primarily, an Analyst is responsible for providing day-to-day support in the development, implementation, and maintenance of compliance programs for a variety of financial services firms, which includes but is not limited to:

  • Develop and implement compliance policies and procedures in accordance with the client’s regulatory requirements;
  • Assist in conducting quarterly testing and annual compliance reviews of our clients’ compliance program;
  • Prepare compliance trainings for clients;
  • Proactively communicate with client on administrative matters (e.g. call timing, onsite visits, document requests, agenda items, etc.) and provide timely responses to client inquiries or comments;
  • In advance of compliance calls and meetings, ensure all relevant materials are distributed to the team (e.g. agenda, testing items, discussion items, etc.);
  • Review employee personal trading and electronic communications for inconsistencies with client policy and adherence to securities laws;
  • Assist in registering firms with the appropriate regulatory bodies; 
  • Assist in conducting mock regulatory exams;
  • Prepare annual and quarterly regulatory filings (including, without limitation, the Forms ADV, PF, 13F, 13H. and PQR).


In addition, analysts are expected to:

  • Complete firm administrative tasks in a timely and accurate matter. This include expense reporting, time reporting, and performance reviews;
  • Be an active member of internal initiatives; and
  • Promote a culture of collaboration, inclusion, and diversity.

 

Qualifications

  • Undergraduate degree required;
  • 0-2 years of financial services related experience;
  • Excellent written and verbal communication skills;
  • Strong research skills;
  • Ability to quickly digest information into a concise summary and analysis;
  • Self–starter as well as collaborative problem solver;
  • Ability to meet deadlines and set realistic expectation on the timing of work product delivery; and
  • Ability to multi-task across a range of projects/deliverables with carrying deadlines and priorities across various clients and Greyline teams.

 

Additional information

All your information will be kept confidential according to EEO guidelines.

Company description

Greyline is a regulatory consulting firm headquartered in San Francisco, CA. The Firm’s clients are primarily registered investment advisers including traditional advisers, mutual fund managers, private equity firms, hedge funds, and venture capital firms. Join our team and together we'll power the sound decisions that enhance value - yours and ours.

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