Senior Compliance Analyst - Chicago, United States - Virtus Investment Partners

Description

Senior Compliance Analyst page is loaded

Senior Compliance Analyst

Apply

locations

Chicago, IL

time type

Full time

posted on

Posted Today

job requisition id

R540

The Duff & Phelps team brings together a rare mix of skill, experience, education and credentials in a collegial, collaborative environment.

Job Description


DUTIES AND RESPONSIBILITIES:
(List in order of importance; include any supervisory or management responsibilities)

Supports the team with the review of the firm's marketing materials to ascertain they are complying with all applicable regulatory and GIPS requirements.

Assists with the compliance review testing process and works closely with the CCO and other compliance team members to support compliance program requirements for the investment adviser and the closed end funds.

Coordinates the SSAE18 SOC 1 process and facilitates requests from auditors.
Assists with review and revision of select compliance policies and procedures.
Coordinates with Risk Management and Performance team to oversee GIPS compliance and annual verification.

This job description is not designed to cover or contain a comprehensive listing of activities, duties or responsibilities required for the position.

Other duties may be assigned from time to time by management.


MINIMUM QUALIFICATIONS:
(education, experience, certifications, licenses & skills required)

BA/BS degree with 3 to 5 years of investment adviser compliance experience or, an equivalent combination of education and investment related experience.

Experience working in a similar role within the financial services industry preferred.
Highly motivated and detail-oriented individual who has a solid understanding of the regulatory environment in the financial services sector.

Prior experience with rules under the Investment Advisers Act of 1940; experience with other rules including the Investment Company Act of 1940, the Securities Exchange Act of 1933 and ERISA as well as certain foreign regulations a plus.

Strong technical skills including experience using the suite of Microsoft Office products; Experience with Bloomberg AIM, STAR Compliance and RedOak Advertising Review or similar marketing review tool a plus.

Highly organized with exceptional attention to detail and follow-through.
Strong ability to manage multiple projects with competing deadlines.
Team player with positive attitude and strong work ethic.
Strong analytical aptitude and willingness to learn.
Excellent communication (verbal and written) and presentation skills, with the ability to provide clear and concise compliance guidance.

PHYSICAL REQUIREMENTS:
Willingness to work in a hybrid work environment

(i.e., combination of in-office and remote work).
Ability to operate a computer and perform repetitive motion activities.
Ability to remain in a stationary position at least 50% of the time.

Base Salary Range:
$86,400 to $105,600/annually.

The starting salary offer will vary based on the applicant's education, experience, skills, abilities, geographic location, internal equity, and alignment with market data.

About Us

Virtus Investment Partners is a premier provider of investment solutions to individuals, financial advisors, and institutions. We aim to offer distinguished strategies and original perspectives to help our clients achieve better outcomes.
Applicant Notice to California Residents

P lease click on the link

to review the notice.
#J-18808-Ljbffr