Compliance Analyst

Chicago, IL, US
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The Compliance Analyst is responsible for assisting the Compliance Manager in ensuring the firm complies with applicable regulatory requirements. The Compliance Officer also plays a vital role in collaborating with the Compliance Manager on initiatives that drive new efficiencies to deliver top-notch client service and reduction of risk.  This individual will serve as the primary day-to-day compliance partner to the firm’s marketing team and management of the firm’s code of ethics.

Responsibilities:

  • Interpret, advise, administer, and monitor the Firm’s Code of Ethics for personal trading along with all required employee reporting requirements
  • Review the firm’s marketing campaigns (presentations, market commentaries, RFP responses, marketing-related website content, and ad hoc marketing pieces) to ascertain compliance with all regulatory requirements. Provide a timely and accurate response including regulatory basis for requested changes and recommend alternatives to ensure content is compliant.  
  • Work with business teams on implementing regulatory changes that impact marketing
  • Assist with electronic communication reviews
  • Support Compliance Manager by conducting compliance testing on the firm’s policies and procedures
  • Assist with the preparation and submission of regulatory filings and disclosure documents
  • Provide support for internal and external audits and examinations
  • Conduct oversight and due diligence on critical vendors
  • Assist with the revision of policies and procedures
  • Assist with annual and ad hoc compliance training
  • Performs other compliance duties as required by the Compliance Manager
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NFP est un employeur qui offre l’égalité des chances à tous les employés et candidats à l’emploi, sans distinction de race, de couleur, de religion, de sexe, d’orientation sexuelle, d’identité de genre, d’âge, d’origine nationale, de handicap, de prédisposition génétique ou de statut de porteur, ou de toute autre caractéristique protégée par la législation fédérale ou provinciale. L’entreprise s’engage à respecter cette politique en matière de recrutement, d’embauche, de placement, de promotion, de transfert, de formation, de rémunération, d’avantages sociaux, d’activités des employés et de traitement général pendant l’emploi. Il est attendu de tous nos employés connaissent cette politique et qu’ils créent un environnement sensible et respectueux de tous les individus. test

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