"Alerted.org

Essential Duties and Responsibilities

+ Manages the preparation, consolidation and delivery of monthly and quarterly Compliance reports for senior leaders.

+ Collaborates with cross-functional teams to gather, validate and analyze Compliance data to ensure accuracy and completeness.

+ Develops and maintains reporting templates and tools to streamline recurring reporting processes.

+ Monitors reporting timelines and ensure all deliverables meet internal deadlines and quality standards.

+ Identifies opportunities for process improvements and automation within the reporting function.

+ Supports ad hoc reporting requests and special projects as directed by Compliance leadership.

+ Supports the annual review and update process for the Code of Conduct, coordinating with key stakeholders to ensure content remains current, relevant and aligned with regulatory expectations and company values.

+ Manages version control, documentation and communication of Code of Conduct updates across the organization.

+ Routinely interacts with senior leaders within Compliance, Risk, AML and across the firm.

+ May represent the Compliance department on cross-functional projects as they arise.

+ Prepares and delivers written and oral presentations to management and other stakeholders.

+ Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Knowledge of:

+ Effective reporting and communicating complex information.

+ Fundamental investment concepts, practices and procedures used in the securities industry.

+ Principles of banking and finance and securities industry operations.

Skill in:

+ Gathering, streamlining and communicating complex information in a digestible way.

+ Creating reports, presentations and talking points for senior leaders.

+ Providing support and guidance for compliance efforts.

+ Reviewing materials for compliance with rules and regulations.

+ Researching compliance issues.

+ Writing, editing and proofreading.

+ Microsoft PowerPoint, Word, Excel and SharePoint.

Ability to:

+ See projects through from conception to successful execution.

+ Absorb unfamiliar topics quickly.

+ Attend to detail while maintaining a big picture orientation.

+ Partner with other functional areas to accomplish objectives.

+ Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels.

+ Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed.

+ Prioritize tasks and pivot quickly when necessary.

+ Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions.

+ Work independently as well as collaboratively within a team environment.

+ Seek and implement constructive feedback.

+ Troubleshoot problems and proactively suggest solutions.

+ Provide a high level of customer service.

+ Establish and maintain effective working relationships at all levels of the organization.

+ Maintain confidentiality.

Educational/Previous Experience Requirements

+ Bachelor’s degree (B.A. /B.S.) and a minimum of three (3) years of experience in Compliance and/or the financial services industry preferred.

~or~

+ Any equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications

+ None Required.

+ Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.