Compliance Analyst - Primary Research
Core
Maintain and manage firm policies and procedures regarding consultant networks, independent consultants, and custom projects including surveys and bespoke reports.
Role type
Compliance Analyst (Primary Research)
Builds
Compliance oversight for investment professionals and custom research projects
Domain
Financial services / Investment compliance
Deliverable
client delivery
Required skills
Policy management, consultant interaction oversight, call chaperoning, proprietary system monitoring, process improvement, policy drafting
Preferred skills
None stated
Technologies
Proprietary compliance management system
Responsibilities
Conduct oversight of interactions with consultants through expert networks, brokers, and direct relationships; Chaperone consultant calls for investment professionals and document accordingly; Monitor and notate chaperoned calls in proprietary compliance management system; Assist in oversight and maintenance of policies for custom projects and surveys; Brainstorm and implement ideas for enhancing compliance oversight; Recommend and draft enhancements to existing policies and procedures
Seniority
Junior to Mid-level, hands-on IC