Elevate your compliance career with Equitable as a Senior Compliance Analyst in Asset Management. Engage with regulatory compliance, investment policies, and enhance operational frameworks in a hybrid work environment.
In this senior role, you'll support compliance operations and regulatory oversight in a dynamic financial services setting. Collaborating closely with investment teams, you'll conduct compliance monitoring, analyze regulatory developments, and enhance compliance frameworks. This position also offers substantial exposure to investment management operations, making it ideal for driven compliance professionals.
Key Responsibilities:
- Conduct compliance monitoring and testing for investment policies
- Research regulatory developments and prepare impact assessments
- Support enhancement of compliance frameworks and documentation
- Produce compliance dashboards, KPI reports, and management updates
- Analyze trade transactions and compliance exceptions for recommendations
Requirements:
- University degree in Finance, Business, or related field
- 3-5+ years in investment compliance or asset management
- Strong understanding of securities regulation and compliance
- Advanced Excel skills for complex data analysis
- Excellent communication and organizational abilities
Leverage your analytical skills and regulatory knowledge to make impactful contributions at Equitable.
Senior Compliance Analyst at Equitable in Alton employer: Dayforce HCM
Equitable is an exceptional employer located in Waterloo, ON, offering a collaborative and caring work culture that prioritizes employee growth and development. As an Individual Wealth Administrator, you will benefit from a permanent full-time position with opportunities to enhance your expertise in wealth administration while making a meaningful impact on clients' financial well-being. With a focus on teamwork and procedural improvements, Equitable fosters an environment where employees can thrive both personally and professionally.
