Compliance Full-Time
Positions |
|
JOB TITLE: |
Compliance Analyst |
DESCRIPTION: |
The Compliance Analyst will report to the Chief Compliance Officer and will contribute to the ongoing development of the KCM compliance and risk management program.
The Compliance Analyst will be responsible for daily trade surveillance, trend analysis, production of reports, creation and maintenance of compliance books and records, completion of certifications and questionnaires, EDGAR filings, logging presentation materials and other duties as assigned. The Compliance Analyst will assist the Compliance Team with the automation of compliance systems and exception reports as well as with periodic review and testing of the adequacy of the firm’s policies, procedures and controls.
|
QUALIFICATIONS: |
The ideal candidate will have obtained a BA or BS, will be self-motivated and detail-oriented, will possess strong analytical as well as written and verbal communication skills, and will be required to analyze procedures, identify issues, meet deadlines, and propose and implement practical solutions. The candidate must have the ability to work independently, with other members of the Compliance Department as well as with members of other departments.
The preferred candidate will be familiar with investment adviser rules and regulations, will have a minimum of 2-3 years experience within the industry, and will have passed the FINRA Series 65 or 66 examinations, or must be willing to pass the FINRA Series 65 examination within 6 months of hire. Additional requirements are intermediate PC skills including Microsoft Excel and Word, the ability to obtain a working knowledge of internal processing systems and the desire to continue to increase knowledge of the industry, its rules, regulations and best practices. |
HOURS: |
Full-time |
CONTACT: |
Please email resumés with salary requirements to:
Marilyn Lammert
E-mail: mlammert@kennedycapital.com |
|
|
| "Our commitment to
our employees is to maintain a culture that encourages innovation,
entrepreneurship, and professional growth. We are an organization
whose employees exhibit independent judgment designed to be
responsive to the financial markets. Our employees are each
valuable members of the team, working together in fulfilling
careers to exceed the expectations of our clients."
|
|
