Compliance Analyst - Denver, United States - Apex Group

Apex Group Denver, United States

2 weeks ago

Description

The Apex Group was established in Bermuda in 2003 and is now one of the worlds largest fund administration and middle office solutions providers. Apex has continually improved and evolved its product suite by surrounding these core administrative services with additional products spanning the full value chain of a fund; from information delivery and regulatory products to fund platforms and tax services. The globally distributed service model has rapidly expanded through a combination of organic growth and more recently bolstered by acquisition. Service is now delivered by over 10,000+ staff across 50+ offices. The Apex Group administers circa $2.3 trillion in assets, including the investments of some of the largest funds and institutional investors in the world

Compliance A nalyst

The role of the Compliance Analyst, Americas is responsible for SEC Investment Advisor compliance clients, particularly Registered investment advisors (RIAs) managing private funds. The incumbent will play a vital role in the implementation and execution of client compliance programs. Candidates must have previous experience in the implementation and execution of regulatory compliance programs for U.S. Securities and Exchange Commission regulated entities.

The Role & Key Responsibilities:

Work with client CCOs and compliance staff on ad hoc operational questions and issues.
Schedule meetings and develop agendas for clients.
Assist clients with Code of Ethics administration including the collection of holdings information and quarterly and annual periodic compliance questionnaires and certifications.
Perform annual and quarterly testing and reviews in support of annual requirements.
Administration of compliance software systems including ComplySci and ComplianceAlpha .
Assist in the collection and analysis of data for regulatory reporting and disclosures.
Enhance internal workflow and processes.
Documentation of records in designated systems.
Manage the departments invoicing function.
Other tasks and projects as may be assigned.

To qualify for the role you must have:

Minimum 2-4 years of demonstrated investment adviser compliance experience. Experience with private funds desired but not required.
Working knowledge of the Investment Advisers Act of 1940 and the requirements of Rule thereunder. Knowledge of the Investment Company Act of 1940, CFTC/NFA regulation and state securities laws is a plus.
Detail-oriented and the ability to multi-task.
The ability to organize workload and meet deadlines.
Ability to work both independently and as part of a team.
Strong written communication and oral communication skills.

Skills and attributes for success:

Demonstrated professional integrity.
Dependable, flexible, and adaptable to change.
Ability to exercise discretion and make independent judgments on matters of significance.
Ability to establish and maintain effective working relationships with colleagues and clients.
Highly motivated, pro-active and goal oriented.
Dedicated to high-quality standards and customer service focus.
Strong organizational and problem-solving skills with attention to detail.

What you will get in return:

A high level of visibility within a large organisation on an upwards trajectory
The ability to define marketing processes to drive innovation and have a tangible impact on the business
Be part of a dynamic and fast-paced team that makes a genuine impact on revenue and sales pipeline.
Exposure to all aspects of the business, cross-jurisdiction and to working with senior management directly.
Opportunity to work with a diverse, agile and global marketing team.
The opportunity to innovate, bring discipline to brand activity and really make a difference.

Additional information :

We are an equal opportunity employer and ensure that no applicant is subject to less favourable treatment on the grounds of gender, gender identity, marital status, race, colour, nationality, ethnicity, age, sexual orientation, socio-economic, responsibilities for dependants, physical or mental disability . Any hiring decision are made on the basis of skills, qualifications and experiences.

We measure our success as a business, not only by delivering great products and services and continually increasing our assets under administration and market share, but also by how we positively impact people, society and the planet.

For more information on our commitment to Corporate Social Responsibility (CSR) please visit

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