The Compliance Analyst I monitors activities impacted by regulatory requirements related to the organization's governance and any industry-specific or location-specific laws. Supports the development and implementation of compliance programs, policies, reporting, and practices for an organization or business. Being a Compliance Analyst I implements changes to compliance processes due to new or amended regulations. Utilizes established internal controls and auditing systems to identify, detect, and correct noncompliance. In addition, Compliance Analyst I prepares and updates communication mater ...ials. Assists with training initiatives that inform stakeholders about compliance requirements. Requires a bachelor's degree or equivalent. Typically reports to a supervisor or manager. Being a Compliance Analyst I work is closely managed. Works on projects/matters of limited complexity in a support role. Working as a Compliance Analyst I typically requires 0-2 years of related experience.More Show Less
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SUMMARY. The Compliance Analyst I is responsible for assisting compliance officers in support of their Rule 38a-1 compliance program obligations for the clients of Ultimus Fund Solutions (UFS.) Additionally, this role may have significant contact with clients and various internal departments of UFS. KEY ACCOUNTABILITIES. COMPLIANCE ANALYSIS. Maintains and updates the UFS Internal Operating Guidelines as directed for operational related changes. A...
SUMMARY. The Compliance Analyst I is responsible for assisting compliance officers in support of their Rule 38a-1 compliance program obligations for the clients of Ultimus Fund Solutions (UFS.) Additionally, this role may have significant contact with clients and various internal departments of UFS. KEY ACCOUNTABILITIES. COMPLIANCE ANALYSIS. Maintains and updates the UFS Internal Operating Guidelines as directed for operational related changes. A...
