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Compliance Analyst

Company: Parametric
Location: Seattle
Posted on: April 10, 2021

Job Description:

At Parametric, we offer competitive salaries, generous benefits and opportunities for growth and development. We invite you to explore our available job opportunities listed below and look forward to having you become a part of our continued success! General Description Growing investment advisory firm seeks Compliance Analyst with strong desire to learn and grow with the firm. Position involves both regular (daily, weekly, monthly, quarterly) compliance tasks and day-to-day collaboration with Parametric's thirteen person Compliance team. Ideal candidate has 1-3 years of investment management experience, preferably in operations, trading, or audit. Previous compliance experience is not required. Entry level candidates will be considered for a Compliance Coordinator role. Primary Responsibilities

  • Collect, review and maintain employee Compliance forms and personal account information in accordance with firm policies and procedures
  • Manage the completion of numerous regular (monthly, quarterly and annual) client compliance certifications, questionnaires and information requests
  • Assist in the preparation of various state and federal agency regulatory filings, reports and registrations
  • Participate in compliance testing of firm policies and procedures in accordance with SEC Rule 206(4)-7 and work with the applicable departments to revise, document and implement revisions
  • Research and interpret industry rules and regulations and SEC no-action letters
  • Develop comprehensive understanding of Star Compliance, the system used for monitoring employee personal trading activity, gifts, entertainment, outside business activities, and political contributions.
  • Obtain understanding of regulations (e.g. SEC, 1940 Act, ERISA, state, foreign) governing Parametric's business through ongoing education and involvement with industry groups
  • Assist Compliance Group on major projects and forensic reviews
  • Assist in drafting a variety of certificates, documents, questionnaires, procedures and letters relating to firm and client compliance Job Requirements
    • Bachelor's degree or equivalent combination of experience and education required
    • Previous compliance experience is not required
    • 1-3 years of industry-related experience, preferably in operations, trading, or audit. Entry level candidates will be considered for a Compliance Coordinator role
    • Strong computer skills: knowledge of Microsoft Office suite
    • Strong eye for detail
    • Good customer service skills; involves interaction with internal and external customers
    • Strong desire to learn and take on new assignments that will progress a career in compliance
    • Excellent communication skills-written and verbal
    • Excellent organizational skills
    • Must be able to work well independently and be a team player
    • Ability to adapt to change in a dynamic and often fast-paced work environment
    • Demonstrates ability to meet deadlines
    • Demonstrates ability to maintain confidentiality of sensitive information Parametric is an equal opportunity employer and is committed to providing a work environment that is free of discrimination and harassment. It does not discriminate against applicants or employees with respect to any terms or conditions of employment on account of race, color, religion, creed, national origin, ancestry, sex, sexual orientation, age, pregnancy, parenthood, physical or mental disability (actual or perceived), medical condition including genetic characteristics, marital status, citizenship status, military service, gender, gender identity or express, registered domestic partner status, domestic violence victim status, status with regard to public assistance, or any other characteristic protected by applicable federal, state or local laws. Parametric also prohibits discrimination based on the perception that a person has any of those characteristics or is associated with a person who has or is perceived as having any of those characteristics. This commitment applies to all persons involved in the operations of Parametric, and prohibits unlawful discrimination by any employee of Parametric, including supervisors and co-workers. All employment decisions shall be consistent with the principles of equal employment opportunity. The information on this website is for U.S. residents only and does not constitute an offer to sell, or a solicitation of an offer to purchase, securities in any jurisdiction to any person to whom it is not lawful to make such an offer. Investing entails risks and there can be no assurance that Parametric (and its affiliates) will achieve profits or avoid incurring losses. All investments are subject to potential loss of principal. Parametric does not provide tax or legal advice. Prospective investors should consult with a tax or legal advisor before making any investment decision. Please refer to the disclosure page for important information about investments and risks.

Keywords: Parametric, Seattle , Compliance Analyst, Professions , Seattle, Washington

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