Compliance Analyst
TA Realty · Boston, MA · 2 wk ago
On-siteLegal$44/hrFull-time
Essential Duties And Responsibilities
- Support the development, implementation, ongoing enhancement and monitoring of compliance policies and procedures to ensure regulatory alignment
- Coordinate with internal teams throughout the firm to enhance current compliance procedures
- Affiliate in developing and conducting firmwide training pertaining to the policies and procedures
- Perform compliance reviews and testing procedures as directed by the Compliance Manager and/or CCO
- Foster a corporate culture of compliance
Regulatory Monitoring & Filings
- Assist with regulatory filings and requests (e.g. Form ADV, Form PF, Form SHL, Form SLT, etc.)
- Maintain the Firm’s side letter management platform (Ontra Insights)
Compliance Program Support
- Support the development, implementation, ongoing enhancement and monitoring of compliance policies and procedures to ensure regulatory alignment
- Coordinate with internal teams throughout the firm to enhance current compliance procedures
- Affiliate in developing and conducting firmwide training pertaining to the policies and procedures
- Perform compliance reviews and testing procedures as directed by the Compliance Manager and/or CCO
- Foster a corporate culture of compliance
Regulatory Monitoring & Filings
- Assist with regulatory filings and requests (e.g. Form ADV, Form PF, Form SHL, Form SLT, etc.)
- Monitor regulatory developments and assess impact on the firm
- Review compliance-related ‘alerts’ from TA Realty’s legal counsel and industry resources and communicate relevant information to the Compliance Team
Compliance Platform Management
- Support administration of the Firm’s compliance software (Comply) including periodic certifications and monitoring of personal trading monitoring, gifts and entertainment, outside business activity, political contributions, etc.
Cross-Functional Support
- Maintain the Firm’s side letter management platform (Ontra Insights)
- Monitor new hire onboarding and departing employee offboarding requirements to ensure completion
- Affiliate with internal audit (JSOX) requests from TA Realty’s parent company
- Affiliate with additional duties, including regulatory research and ad hoc compliance projects