Compliance Associate
Carmel, IN · On-site
Proficient in Microsoft Office Suite and compliance technology platforms such as ComplySci
Compliance Associate
Carmel, IN · On-site
Proficient in Microsoft Office Suite and compliance technology platforms such as ComplySci
Compliance Associate
Carmel, IN · On-site
Proficient in Microsoft Office Suite and compliance technology platforms such as ComplySci
Compliance Associate
Carmel, IN · On-site
Proficient in Microsoft Office Suite and compliance technology platforms such as ComplySci
Compliance Associate
Carmel, IN · On-site
Proficient in Microsoft Office Suite and compliance technology platforms such as ComplySci
Compliance Associate
Carmel, IN · On-site
Proficient in Microsoft Office Suite and compliance technology platforms such as ComplySci
Complysci information
What is ComplySci?
ComplySci is a company that provides compliance management software solutions designed for financial services firms. Their platform helps organizations automate the monitoring and management of employee compliance with regulatory requirements, such as personal trading, gifts and entertainment, and political contributions. By streamlining compliance processes, ComplySci enables firms to reduce risk, improve efficiency, and ensure adherence to industry regulations.
What are the key skills and qualifications needed to thrive as a compliance analyst, and why are they important?
To thrive as a Compliance Analyst, you need a strong understanding of regulatory requirements, risk management, and compliance processes, often supported by a degree in finance, law, or a related field. Familiarity with compliance management platforms like ComplySci, as well as certifications such as Certified Regulatory Compliance Manager (CRCM), are valuable. Attention to detail, analytical thinking, and effective communication set outstanding professionals apart in this role. These skills ensure accurate monitoring, reporting, and adherence to evolving regulations, protecting organizations from legal and reputational risks.
How does working as a compliance analyst at ComplySci typically involve collaboration with other departments?
As a compliance analyst at ComplySci, you will regularly collaborate with teams such as IT, legal, and operations to ensure regulatory requirements are met. This cross-functional teamwork is crucial when implementing compliance solutions, investigating potential issues, and updating policies. Open communication and project management skills are important, as you may work on projects that require input from multiple stakeholders and departments to ensure comprehensive compliance coverage.
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What job categories do people searching Complysci jobs in Indiana look for? The top searched job categories for Complysci jobs in Indiana are:
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Re-posted 13 days ago
Job description
Position Reports to: Chief Compliance Officer (CCO)
Department: Compliance
Location: Carmel, IN
Exemption Status: E
Position Overview:
The Compliance Associate will assist the Chief Compliance Officer in executing the firms compliance program in accordance with the Investment Advisers Act of 1940. This position is responsible for helping maintain the firms policies and procedures, performing regular compliance reviews, supporting regulatory filings, and assisting with internal education and audits.
The ideal candidate is highly organized, deadline-driven, and has experience working in the compliance department of a financial services firm.
Duties and Responsibilities:
- Support the implementation, testing, and documentation of the firms compliance policies and procedures.
- Conduct regular surveillance and forensic testing (e.g., personal trading, email review, advertising/marketing review, code of ethics).
- Maintain compliance calendars and logs to track regulatory filings, attestations, training, and policy review deadlines.
- Monitor marketing materials, social media content, and client communications for regulatory compliance under the SEC Marketing Rule.
- Assist with onboarding/offboarding processes for employees and access persons, including compliance training.
- Support the due diligence process on vendors, custodians, and other third-party service providers.
- Respond to compliance-related questions from team members and help promote a culture of compliance.
- Participate in internal audits and regulatory exams, gathering documentation and preparing responses.
- Stay current with regulatory developments and industry best practices to identify areas of risk or improvement.
Desired Qualifications:
- Bachelors degree or higher from an accredited college or university
- 25 years of experience in financial services compliance, preferably with an RIA
- Working knowledge of the Investment Advisers Act of 1940
- Excellent organizational, communication, and analytical skills
- High attention to detail and strong ethical standards
- Proficient in Microsoft Office Suite and compliance technology platforms such as ComplySci