Senior Compliance Analyst - Due Diligence & Testing

Ultimus Fund Solutions; Hauppauge (NY); Hybrid; USD 90,000 - 120,000; Full time

Job summary

Ultimus Fund Solutions is seeking a Senior Compliance Analyst to support the Chief Compliance Officer in due diligence, risk assessment, and regulatory matters. The role oversees testing of policies and procedures and contributes to the administration of the Compliance Program and ERM.

Responsibilities include coordinating testing, presenting results to committees, and assisting in regulatory examinations. Ideal candidate has extensive financial services compliance experience and strong

Qualifications

• Bachelor’s degree in business admin or related field.
• 5+ years of compliance experience in financial services.
• Experience with SEC and FINRA rules and regulations.

Responsibilities

• Conducts and coordinates compliance testing of UFS policies and procedures.
• Provides feedback and suggestions on test planning, assessment of test results and control enhancements.
• Assists in evaluating key risk indicators and updating Compliance Manual as needed.
• Supports administration of UFS Compliance Program and Enterprise Risk Management program.
• Prepares and supports compliance related committees and meeting materials and minutes.
• Presents testing results and recommendations to committees and assists with regulatory examinations and audits.

Skills

Analytical skills

Multitasking

Communication

Time management

Education

Bachelor's degree in business administration or related field

5+ years of related compliance experience

Experience working in Financial Services industry

Tools

Microsoft Office Suite

Adobe Acrobat

Job description

Ultimus Fund Solutions is seeking a Senior Compliance Analyst to support the Chief Compliance Officer in due diligence, risk assessment, and regulatory matters. The role oversees testing of policies and procedures and contributes to the administration of the Compliance Program and ERM.

Responsibilities include coordinating testing, presenting results to committees, and assisting in regulatory examinations. Ideal candidate has extensive financial services compliance experience and strong