Location: Fully Remote – We are unable to hire in NY, NJ or CA
Company: Simon Compliance LLC
Employment Type: Full-Time
About Simon Compliance LLC:
Simon Compliance is a boutique compliance consulting firm offering the best in consulting services. We specialize in partnering with financial services firms to foster a culture of compliance. We offer carefully considered advice and accessible, responsive service to create a customized, compliance solution. We work with over 100 private equity, real estate and venture capital clients across the country.
This role will work in an exciting, fast-paced, and entrepreneurial environment and is an expansion of our growing team.
Job Summary:
We are seeking a diligent and detail-oriented Compliance Analyst to join our team. The Compliance Analyst will play a crucial role in supporting the Code of Ethics programs at our clients with an opportunity to expand into other areas of the firm. The ideal candidate will have a strong understanding of compliance frameworks, excellent analytical skills, attention to detail, and the ability to work independently.
Key Responsibilities:
Manage the records and documentation related to our clients’ Code of Ethics policies.
Input information into clients’ Code of Ethics software accurately and timely.
Monitor Access Person personal trading, manage various logs, conduct brokerage statement review, chaperone expert network calls and communicate regularly with third-party brokerage firms to connect accounts to broker feeds.
Review Access Persons’ certifications and disclosures for conflicts of interests.
Stay up-to-date with regulatory changes and updates that impact the organization or its clients.
Assist in the investigation of compliance issues, including gathering and analyzing data and documenting findings.
Qualifications:
Education: Bachelor’s degree in Business, Law, Finance, or a related field.
Experience: 1-3 years of experience in a compliance, audit, or risk management role, preferably in a financial services or regulatory environment.
Knowledge: Strong knowledge of compliance frameworks, regulatory requirements, and industry best practices preferred.
Skills: Strong analytical and problem-solving skills, excellent attention to detail, and proven multitasking capabilities are all required for this position.
Communication: Strong written and verbal communication skills.
Integrity: High ethical standards with a commitment to integrity and transparency in all activities.
Why Join Simon Compliance LLC?
Opportunity to work with a dynamic and growing company.
Collaborative work environment with a focus on professional development.
Competitive salary and benefits package.
Chance to make a meaningful impact by helping organizations maintain compliance and reduce risk.
How to Apply:
Resumes must be uploaded in PDF format. Resumes uploaded as Word documents will not be considered.
The duties and responsibilities described here are not exhaustive and additional assignments, duties, or responsibilities may be required of this position. Assignments, duties, and responsibilities may be changed at any time, with or without notice, by the company in its sole discretion.
Simon Compliance offers a competitive benefits package.
Seniority level
Entry level
Employment type
Full-time
Job function
Legal
Industries
Legal Services
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