SEC Compliance/Contracts Analyst

SEC Compliance and Contracts Analyst is responsible for administration of the Registerd Investment Advisory compliance program and for administration and management of money manager contracts. Serves as subject matter expert on contract terms and pricing and acts as liaison between internal groups on contract issues. SEC compliance responsibilities include monitoring SEC regulations and rule changes, ensuring policies and procedures remain current, monitoring and reporting to ensure adherence to policies and procedures.

Essential Duties and Responsibilities
·Coordinate updates to Compliance Manual, Policies and procedures working with CCO.
·Coordinate and administer annual and quarterly compliance certifications.
·Coordinate and administer money manager contracts working with legal and business management.
·Administer tracking and reporting on money manager contract status.
·Coordinate compliance projects, track issues and oversee issue resolutions.
·Coordinate IRG business continuity projects and coordinate disaster recovery activities.
·Coordinate IRG documentation and submission for SAS 70 responses.
REQUIREMENTS
Qualifications
·3 + years progressive experience in SEC compliance environment.
·3+ years progressive experience in contract management or equivalent business experience.
·Ability to interpret and evaluate SEC Rules and Regulations relating to our business.
·Ability to interpret and evaluate contractual provisions.
·Exceptional oral and written communication.
·Ability to manage multiple projects simultaneously.
·Strong PC skills with relevant software knowledge.
·Experience in investment/financial services desired.

Education

BA/BS degree required, preferably business or finance.