Compliance Analyst/Associate

Quantum Capital Group

Location: Houston, Texas

The Compliance Analyst/Associate will support the Chief Compliance Officer (CCO) in managing the firm's compliance program. This includes monitoring and reporting on the Code of Ethics, testing compliance related policies and procedures, and working with the CCO, Legal, employees, and compliance consultants to ensure effective compliance program oversight. The role offers an excellent opportunity to work in various areas as a compliance generalist.

Main Duties:

• Administer the firm's compliance system, ComplianceAlpha, including managing broker data feeds and streamlining processes.

• Act as the point of contact for employee approvals and surveillance, including employee trading, outside business activities, and political contributions; regularly review and assess potential conflicts or violations of the firm's Code of Ethics and escalating concerns as necessary.

• Conduct routine and ad hoc compliance testing; assist in performing annual compliance program reviews; and support periodic mock regulatory exams.

• Assist in special projects and other related duties such as implementing new regulatory requirements and enhancing the compliance program.

• Review marketing materials and investor communications to ensure compliance with relevant laws and regulations.

• Assist in developing ongoing policies, procedures, and monitoring in line with applicable regulations.

• Provide ongoing compliance program education to employees and assist in the compliance onboarding of new employees.

• Assist with Form ADV and Form PF regulatory filings.

Qualifications:

• Bachelor's degree and 2 to 5 years of compliance experience at an SEC registered investment adviser or as a consultant.

• Detail-oriented with strong organizational and follow-through skills.

• Customer service orientation with strong interpersonal skills.

• Proficient in Microsoft Office (Word, Excel, PowerPoint).

• Proficiency with ComplianceAlpha is advantageous.

Please email sbeacco@Quantumcap.com