Compliance Analyst
Would you be interested in using your compliance knowledge to mitigate risk, support client trust, and ensure Brandes remains competitive by offering our products in any available marketplace? Do you like to work independently while also enhancing team culture? This role has the option of hybrid work. Please take a moment to consider the opportunity to work for a company recognized as an honoree on Pensions & Investments’ Best Places to Work in Money Management.
Description
Would you be interested in using your compliance knowledge to mitigate risk, support client trust, and ensure Brandes remains competitive by offering our products in any available marketplace? Do you like to work independently while also enhancing team culture? This is an exempt role with a pay range between $75,000-$85,000 annually and is open for immediate hire. This role has the option of hybrid work. Please take a moment to consider the opportunity to work for a company recognized as an honoree on Pensions & Investments’ Best Places to Work in Money Management.
Responsibilities
Review, develop and test compliance procedures associated with investment guidelines and restrictions mandated by clients and applicable rules/regulations for multiple internal departments/business units.
Review of marketing materials.
Complete tasks supporting our Annual Compliance Review, including:
Review of current practices and procedures to ensure compliance with applicable securities regulations.
- Review and drafting of procedures based on new regulatory guidelines.
- Maintain testing records and data for compliment into management reports. Assist in reporting to Executive Management on compliance matters.
Maintain ongoing knowledge of departmental procedures.
Attend and participate in staff meetings.
Maintain confidentiality of firm and client information.
Assist Global Head of Compliance in instance of an SEC examination.
Job Requirements
Diplomatic and respectful communication skills, exceptional ability to convey thoughts with poise.
Ambitious with a strong desire to succeed and achieve goals.
Values effective working relationships with colleagues.
Strong sense of precision and maintaining accuracy.
Works effectively on tight timetables, fast, accurate turnaround.
Solid knowledge of MS applications including Word, PowerPoint, and Excel.
Experience with a CRM system is beneficial.
Qualifications
Bachelor's degree, preferably in Business, Economics or Finance and five years of finance-specific legal, regulatory or compliance experience.
We provide equal opportunity to all qualified applicants. All candidates will receive consideration for employment without regard to race, color, religion, national origin, sex, gender identity, gender expression, sexual orientation, disability status, protected veteran status, marital status, or any other characteristic protected by law.
We offer a welcome and inclusive environment that values diversity and a culture in which employees feel empowered to share their perspectives.
Brandes Investment Partners, L.P. will not request credit information or reports (or other sensitive information) from a job candidate via email. Please report any suspicious emails from Brandes at Careers@Brandes.com.