Compliance Analyst
Kennedy Capital Management
- Saint Louis, MO
- Permanent
- Full-time
- Conduct daily trade surveillance and investigate exceptions.
- Analyze client guidelines to implement and monitor investment restrictions.
- Create and maintain internal and client restricted security lists.
- Enforce and monitor the firm's Code of Ethics requirements, reporting and approval of personal trades.
- Create and administer routine and periodic employee attestations.
- Conduct trend analysis and assist in the development and updating of surveillance routines and the production of reports.
- Monitor and prepare regulatory filings.
- Review the firm's marketing related materials and communication.
- Manage and work with custodians to establish broker-feeds related to employee personal securities trading accounts.
- Answer employee questions, assist w/employee compliance training and in creation of compliance records.
- Requires a bachelor's degree preferably in Finance, Business or Accounting;
- Must have a minimum of two (2) years of relevant financial services industry experience.
- Must possess an understanding of the Investment Advisors Act of 1940 and the Investment Company Act of 1940.
- Strong verbal and written communication skills, with excellent attention to detail and accuracy.
- Proficiency in Microsoft Office package, ability to quickly gain proficiency in KCM's internal processing systems such as Advent APX and Ridgeline;
- Ability to work onsite in our St. Louis MO office.
- Excellent benefits package, compensation with bonus, and generous time off.
- Optional work remote one day per week.
- A fun, flexible and supportive work environment with opportunities for growth and development.