We are seeking a detail-oriented and analytical Compliance Analyst to support the oversight of trading activity, trade execution practices, and investment suitability across our investment platforms. This role plays a critical part in ensuring compliance with SEC, and other regulatory requirements, as well as internal policies and procedures related to best execution and client suitability.Essential ResponsibilitiesTrade Surveillance & Monitoring: Conduct daily reviews of trade activity to identify anomalies, errors, and potential violations; ensure adherence to best execution standards and equitable treatment across client accounts.Issue Investigation & Risk Mitigation: Investigate escalations, trade errors, and execution outliers; identify gaps in compliance processes and recommend improvements to internal controls and oversight procedures.Investment Suitability Oversight: Evaluate client investment profiles, risk tolerances, and objectives to ensure product and strategy alignment; assess complex securities and oversee share class selection and related fees.Due Diligence & Product Review: Ensure due diligence is performed on investment products, including suitability, associated risks, and regulatory considerations.Compliance Program Support: Contribute to the development, maintenance, and enforcement of trading and investment-related compliance policies; remain current on evolving regulatory requirements.Reporting & Documentation: Generate and maintain reports, dashboards, and records related to surveillance findings, exceptions, and resolutions using compliance platforms such as My Compliance Office (MCO).Collaboration & Advisory Support: Partner with trading, investment, operations, and advisory teams to resolve issues, implement controls, and provide guidance on trade practices and product approvals.Regulatory Support & Examinations: Assist with regulatory exams, audits, and internal reviews by preparing documentation and supporting the Chief Compliance Officer and broader compliance team.
Job Details
ID | #53946780 |
Estado | Missouri |
Ciudad | Clayton |
Tipo de trabajo | Full-time |
Fuente | Moneta |
Showed | 2025-05-30 |
Fecha | 2025-05-30 |
Fecha tope | 2025-07-29 |
Categoría | Etcétera |
Crear un currículum vítae |
ESTADOS
- Minnesota (2678)
- Carolina del Norte (3472)
- New York (711)
- Pennsylvania (3066)
- Ohio (3376)
- Dakota del Norte (1319)
- Oklahoma (1999)
- Oregon (2173)
- Rhode Island (1455)
- Vermont (395)
- South Carolina (2322)
- Tennessee (2992)
- Texas (3872)
- Utah (1833)
- Virginia (3183)
- Washington (3176)
- Alabama (2488)
- Wisconsin (2359)
- Wyoming (1059)
- Territorios (1030)
- Alaska (411)
- Arizona (2771)
- California (4183)
- Dakota del Sur (1131)
- Delaware (743)
- Colorado (3161)
- Connecticut (1544)
- Indiana (2965)
- Distrito de Columbia (809)
- Florida (3712)
- Hawaii (1145)
- Idaho (1226)
- Illinois (3217)
- Massachusetts (2725)
- Iowa (1757)
- Kansas (1900)
- Louisiana (2117)
- Maine (1240)
- Maryland (2488)
- Michigan (2782)
- Nevada (2241)
- Missouri (2847)
- Montana (755)
- Nebraska (986)
- Virginia Occidental (1972)
- New Hampshire (3552)
- New Jersey (1007)
- Arkansas (1773)
- Georgia (3183)
- Kentucky (2283)
- Mississippi (1726)
- New Mexico (770)
CIUDADES
- Arnold (16)
- Ashland (12)
- Aurora (6)
- Ballwin (1)
- Battlefield (11)
- Belgique (1)
- Belton (8)
- Berkeley (9)
- Billings (1)
- Blackjack (6)
- Bluespings (6)
- Bluesprings (17)
- Bolivar (4)
- Bonneterre (12)
- Boonville (8)
- Branson (46)
- Brentwood (1)
- Bridgeton (6)
- Camdenton (21)
- Carthage (6)
- Charleston (24)
- Chesterfield (67)
- Chillicothe (18)
- Clayton (14)
- Collins (13)
- Columbia (77)
- Columbia / jeff city (29)
- Crevecoeur (5)
- Desoto (6)
- Desperes (9)
- Earthcity (4)
- Ellisville (2)
- Eureka (18)
- Excelsiorsprings (1)
- Farmington (11)
- Faucett (22)
- Fenton (24)
- Florissant (27)
- Foristell (33)
- Fredericktown (15)
- Fulton (15)
- Gladstone (18)
- Grainvalley (16)
- Grandview (20)
- Hannibal (22)
- Hayti (24)
- Hazelwood (8)
- Higginsville (21)
- Highridge (6)
- Hillsboro (10)
- Hollister (16)
- Holtssummit (17)
- Imperial (1)
- Independence (19)
- Jackson (6)
- Jeffersoncity (25)
- Joplin (30)
- Kansas city (190)
- Kearney (21)
- Kennett (12)
- Kirksville (11)
- Kirkwood (1)
- Lakeozark (20)
- Lakestlouis (17)
- Lamar (1)
- Lebanon (20)
- Leessummit (21)
- Liberty (24)
- Lake of the ozarks (12)
- Manchester (16)
- Maplewood (6)
- Marshall (18)
- Marshfield (3)
- Marston (17)
- Marylandheights (1)
- Maryville (10)
- Matthews (19)
- Memphis (1)
- Mexico (8)
- Missouricity (52)
- Moberly (6)
- Monett (12)
- Montgomerycity (17)
- Mountaingrove (1)
- Mountvernon (1)
- Neosho (9)
- Nevada (22)
- Nixa (5)
- Normandy (6)
- Ofallon (25)
- Olivette (10)
- Osagebeach (21)
- Overland (7)
- Owensville (17)
- Ozark (35)
- Pacific (38)
- Palmyra (1)
- Parkhills (5)
- Parkville (15)
- Peculiar (16)
- Perryville (7)
- Pevely (10)
- Pinelawn (3)
- Potosi (3)
- Raymore (1)
- Raytown (23)
- Republic (9)
- Riverside (1)
- Rolla (9)
- Saintann (10)
- Saintcharles (43)
- Saintjoseph (6)
- Saintlouis (28)
- Salem (9)
- Sedalia (28)
- Southeast missouri (1)
- Shrewsbury (4)
- Sikeston (16)
- Smithville (15)
- Springfield (127)
- Springfieldandwillard (1)
- Stcharles (8)
- Stegenevieve (9)
- St joseph (23)
- St louis (503)
- Stlouisandsurroundingareas (1)
- Stlouiscounty (1)
- Stockton (1)
- Stpeters (30)
- Strobert (7)
- Sullivan (42)
- Troy (13)
- Union (2)
- Universitycity (8)
- Valleypark (3)
- Villaridge (23)
- Warrensburg (12)
- Warrenton (54)
- Washington (17)
- Wayland (13)
- Webbcity (26)
- Wentzville (6)
- Willard (11)
- Wrightcity (19)
CATEGORíAS