Senior Compliance & Risk Oversight Analyst

Ultimus Fund Solutions; Hauppauge (NY); On-site; USD 90,000 - 140,000; Full time

Job summary

Ultimus Fund Solutions is seeking a Senior Compliance Analyst to assist the Chief Compliance Officer in overseeing due diligence, risk, and regulatory matters across fund operations.

You will conduct compliance testing, assist with administration of the compliance program, prepare quarterly certifications, and support committees and audits. The role involves mentoring associates and daily collaboration with the Corporate Compliance team.

Qualifications

• Bachelor’s degree in business administration or related field.
• 5+ years of related compliance experience.
• Experience working in Financial Services industry.
• Equivalent education and experience will be considered.

Responsibilities

• Conducts compliance testing of UFS policies and procedures.
• Assists in evaluating key risk indicators and test results.
• Prepares the initial draft of quarterly compliance certifications.
• Prepares and supports committees and working groups, including meeting materials and minutes.
• Assists with monitoring adherence to UFS Policies and Procedures.
• Escalates issues to the Chief Compliance Officer.
• Presents testing results and recommendations to committees.
• Assists with preparation for regulatory examinations and audits.

Job description

Ultimus Fund Solutions is seeking a Senior Compliance Analyst to assist the Chief Compliance Officer in overseeing due diligence, risk, and regulatory matters across fund operations.

You will conduct compliance testing, assist with administration of the compliance program, prepare quarterly certifications, and support committees and audits. The role involves mentoring associates and daily collaboration with the Corporate Compliance team.