Junior Compliance Analyst
WEISS MULTI-STRATEGY ADVISERS, LLC (“Weiss”)
Location: New York office/hybrid
Summary:
The Junior Compliance Analyst will be primarily responsible for a variety of important responsibilities, including providing compliance support and assistance to the Chief Compliance Officer and Compliance Team in furtherance of the monitoring and testing programs that support the overall compliance program, code of ethics and personal trade monitoring, monitoring advisory trading activity and client account restrictions.
Essential Functions:
Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
1. Researches and analyzes legal and regulatory issues related to SEC, FINRA and NFA registrations.
2. Oversight of firm code of ethics program, including review and approval of personal trading, gifts and entertainment, outside business activities and political contributions.
3. Experience with trade control process, implementation and monitoring. Prior experience using EZE Castle OMS/Compliance is a plus.
4. Assists with the coordination and delivery of annual compliance trainings (Firm, Regulatory, AML, etc.)
5. Assists with regulatory audits and exams.
6. Assists with Annual Review of RIA, Affiliated Broker Dealer, and CPOs.
7. Serve as a liaison between Compliance and other partners (i.e. compliance consultants )
8. Assists with the management and response to all regulatory inquiries.
9. Prepare department reports for senior management of Weiss as needed and requested.
10. Review and establish firm compliance policies in response to changing regulations and financial industry trends. Additionally, identify and monitor trends in internal Weiss and external (regulatory/industry) environments and assess their impact on the organization.
11. Assists in preparation of documents as directed by Chief Compliance Officer or Designee.
Qualifications:
1. 1+ years of investment management/wealth advisory industry experience, preferably in compliance, operations, or accounting
2. Proficiency with computer platforms and applications
3. Excellent communication skills (verbal and written), analytical skills, interpersonal skills, and research skills
4. Strong attention to detail, intuitive, energetic and self-motivated with an intellectual curiosity
5. Demonstrated ability to maintain confidentiality of sensitive information
6. Ability to work independently as well as to collaborate with other compliance team members and departments on various projects and initiatives
7. Ability to work to meet multiple, competing deadlines in a fast-paced but collegial and respectful work environment
8. Demonstrated ability to work effectively with a wide variety of individuals throughout the organization including senior management and investment professionals with a positive solutions-based approach
Required education, experience and skills:
1. Bachelor's degree and 1+ years of related experience and/or training; or equivalent combination of education and experience.
2. Ability to work independently
3. Adaptability to new situations and changing regulatory landscape—this employee will not be siloed into one area of “expertise”
4. Ability to manage multiple priorities in a fast-paced environment
5. Strong verbal, written and interpersonal skills
6. Strong analytical skills—background in legal research a plus
7. Willingness to learn the regulatory requirements of the position
Additional Eligibility Qualifications
1. May be required to obtain FINRA Series 7, 24 and 63 licensing during employment.
2. Ability to write reports, business correspondence, and procedure manuals.
3. Experience with EZE Castle OMS/Compliance, MyComplianceOffice (“MCO”), Quest CE, and Advent Geneva a major plus.
Competencies:
1. Problem Solving/Analysis
2. Thoroughness
3. Teamwork Orientation
4. Communication Proficiency
5. Initiative
6. Personal Effectiveness/Credibility
7. Business Acumen
8. Presentation Skills
9. Technical Capacity
Supervisory Responsibility
This position has no supervisory responsibilities.
Work Environment:
This job operates in a professional office environment. This role routinely uses standard office equipment such as computers, phones, photocopiers, filing cabinets and fax machines.
Physical Demands:
The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job.
While performing the duties of this job, the employee is regularly required to talk or hear. The employee frequently is required to stand; walk; use hands to finger, handle or feel; and reach with hands and arms.
This position requires the ability to occasionally lift office products and supplies, up to 20 pounds.
Position Type/Expected Hours of Work:
This is a full-time position, Monday through Friday, 8:30 a.m. to 5 p.m. This is a hybrid work environment, and the position would require employee to work in Weiss’ New York office at least twice a week, for the foreseeable future. Employee will be required to show proof of vaccination upon hire date. Occasional evening and weekend work may be required as job duties demand.
Travel:
Travel is primarily local during the business day, although some out-of-the-area and overnight travel may be expected.
Other Duties:
Please note this job description is not designed to cover or contain a comprehensive listing of activities, duties or responsibilities that are required of the employee for this job. Duties, responsibilities and activities may change at any time with or without notice.
Interested candidates should send their resume to careers@gweiss.com