Associate General Counsel & Senior Compliance Analyst
Apply NowCompany: Public Trust Advisors
Location: Denver, CO 80219
Description:
Public Trust Advisors is looking for an Associate Counsel & Senior Compliance Analyst to join our Compliance team in Denver, Colorado. Founded in 2011, Public Trust is a client-focused, independent investment advisor that specializes in managing and servicing the investment needs of local governments nationwide. The Compliance Analyst will report directly to the Chief Compliance Officer (CCO). This is a HYBRID work opportunity. Monday & Thursday are in-office at our downtown Denver company headquarters and the remainder of the week staff work remotely from home.
Our Compliance Analyst will join a staff of likeminded professionals dedicated to providing cost effective investment management and advisory services for the public sector. Together we assist local governments, increasing investment income for their communities allowing them to finance more projects, hire new people, expand payroll, and increase reserve funds.
Job Summary
The Compliance Analyst is primarily responsible for assisting in the compliance oversight and administration within the organization. The position will assist in managing all compliance matters for Public Trust and our underlying investment products
Ideal candidates will possess a law degree and have work experience in at least one of the following areas: Contracts, Regulatory, Compliance, Finance (fixed income), or Auditing/Accounting and have developed exceptional organizational and interpersonal skills with the ability to collaborate and delegate.
Responsibilities
All below mentioned items will either be assisting the compliance team or delegated tasks:
Assist with the Firm's compliance and regulatory matters.
Assist with the Firm's compliance and regulatory matters.
Review & approve contracts for the company
Analyze risk to the company and advise stakeholders of appropriate action
Develop policy and procedure documents
Review of marketing materials and Requests for Proposals (RFP) prior to distribution
Conduct periodic compliance testing and prepare reviews of various compliance and regulatory policies and procedures
Compile data and coordinate the preparation of various compliance reports
Onboarding and offboarding employees with respect to various compliance department systems and monitoring compliance with initial reporting requirements
Managing and monitoring the Company's Code of Ethics reporting platform, Star Compliance, including onboarding new employees, adding and monitoring employee brokerage accounts, outside affiliations, political contributions, certifications, questionnaires, policies and procedures, and the review of monthly and quarterly reportable items
Tracking compliance tasks, tests and activities
Managing the Company's vendor management process to review and monitor the Company's vendors
Managing the Company's technology platform used to monitor employee political contributions
Responsible for quarterly review of employee political contributions, outside business activities and social media sites
Reviewing electronic communications, including email, messaging, etc., through the Company's technology platform, Smarsh
Review and monitor custodial statements for the Company's pooled investment vehicles
Monitor various Company transactions and inquiries, and track related items
Assist in preparation of annual compliance reviews and quarterly Regulatory, Compliance and Conflicts Committee meetings
Responsible for maintaining compliance-related documents
Respond to regulatory requests for documents and information
Maintain various department logs,
Regularly update the CCO of all compliance matters.
Develop and maintain ongoing compliance education and provide training to Firm personnel.
Maintain the Firm's investment adviser registration, including ADV amendments.
Prepare and file other regulatory forms/reports, as applicable.
Develops, initiates, maintains, and revises policies and procedures for the general operation of the Compliance Program and its related activities to prevent illegal, unethical, or improper conduct.
Manages day-to-day operation of the Program.
Other duties as assigned.
Competencies Required
Computer Skills:
Proficiency in MS Office (Word, Excel, Outlook, PowerPoint), and all required internal programs and systems.
Interpersonal Skills:
Ability to think "big picture" and "outside the box," while always giving attention to detail.
Ability to multi-task
Ability to work independently
Communication Skills:
Strong communication (verbal and written) skills to support, interact, and communicate with a large number of Company colleagues, third-party consultants and regulators.
Critical thinking skills necessary. Good independent follow-up skills.
Training and Education Required
Education/Knowledge:
Must have a 4-year bachelor's degree
Must have a law degree
1-2 years compliance-related experience (preferred)
General knowledge of fixed income markets (preferred).
Understanding of the requirements of the Investment Advisers act of 1940 (preferred).
Our Compliance Analyst will join a staff of likeminded professionals dedicated to providing cost effective investment management and advisory services for the public sector. Together we assist local governments, increasing investment income for their communities allowing them to finance more projects, hire new people, expand payroll, and increase reserve funds.
Job Summary
The Compliance Analyst is primarily responsible for assisting in the compliance oversight and administration within the organization. The position will assist in managing all compliance matters for Public Trust and our underlying investment products
Ideal candidates will possess a law degree and have work experience in at least one of the following areas: Contracts, Regulatory, Compliance, Finance (fixed income), or Auditing/Accounting and have developed exceptional organizational and interpersonal skills with the ability to collaborate and delegate.
Responsibilities
All below mentioned items will either be assisting the compliance team or delegated tasks:
Assist with the Firm's compliance and regulatory matters.
Assist with the Firm's compliance and regulatory matters.
Review & approve contracts for the company
Analyze risk to the company and advise stakeholders of appropriate action
Develop policy and procedure documents
Review of marketing materials and Requests for Proposals (RFP) prior to distribution
Conduct periodic compliance testing and prepare reviews of various compliance and regulatory policies and procedures
Compile data and coordinate the preparation of various compliance reports
Onboarding and offboarding employees with respect to various compliance department systems and monitoring compliance with initial reporting requirements
Managing and monitoring the Company's Code of Ethics reporting platform, Star Compliance, including onboarding new employees, adding and monitoring employee brokerage accounts, outside affiliations, political contributions, certifications, questionnaires, policies and procedures, and the review of monthly and quarterly reportable items
Tracking compliance tasks, tests and activities
Managing the Company's vendor management process to review and monitor the Company's vendors
Managing the Company's technology platform used to monitor employee political contributions
Responsible for quarterly review of employee political contributions, outside business activities and social media sites
Reviewing electronic communications, including email, messaging, etc., through the Company's technology platform, Smarsh
Review and monitor custodial statements for the Company's pooled investment vehicles
Monitor various Company transactions and inquiries, and track related items
Assist in preparation of annual compliance reviews and quarterly Regulatory, Compliance and Conflicts Committee meetings
Responsible for maintaining compliance-related documents
Respond to regulatory requests for documents and information
Maintain various department logs,
Regularly update the CCO of all compliance matters.
Develop and maintain ongoing compliance education and provide training to Firm personnel.
Maintain the Firm's investment adviser registration, including ADV amendments.
Prepare and file other regulatory forms/reports, as applicable.
Develops, initiates, maintains, and revises policies and procedures for the general operation of the Compliance Program and its related activities to prevent illegal, unethical, or improper conduct.
Manages day-to-day operation of the Program.
Other duties as assigned.
Competencies Required
Computer Skills:
Proficiency in MS Office (Word, Excel, Outlook, PowerPoint), and all required internal programs and systems.
Interpersonal Skills:
Ability to think "big picture" and "outside the box," while always giving attention to detail.
Ability to multi-task
Ability to work independently
Communication Skills:
Strong communication (verbal and written) skills to support, interact, and communicate with a large number of Company colleagues, third-party consultants and regulators.
Critical thinking skills necessary. Good independent follow-up skills.
Training and Education Required
Education/Knowledge:
Must have a 4-year bachelor's degree
Must have a law degree
1-2 years compliance-related experience (preferred)
General knowledge of fixed income markets (preferred).
Understanding of the requirements of the Investment Advisers act of 1940 (preferred).