Position: Senior Compliance Analyst
Reports to: Chief Compliance Officer
Status: Full-Time Exempt
The Senior Compliance Analyst is responsible for the review and maintenance of PanAgora’s institutional sales and marketing materials. He/she will assist with the development of the institutional sales materials working with PanAgora’s Investment professionals and the Sales and Marketing professionals for compliance with SEC, NFA/CFTC and where applicable FINRA rules and regulations.
Primary Duties and Responsibilities:
As a senior member of the Compliance team, support the Chief Compliance Officer in ensuring marketing materials and their use by PanAgora’s Investment professionals and Sales & Marketing are compliant, including:
- Review of any general advertising, institutional sales and marketing materials for compliance with SEC, NFA/CFTC and where applicable FINRA rules and regulations.
- Draft new disclosures for any general advertising, institutional sales and marketing materials, maintain library of disclosures and disclaimers, update library in response to new or revised regulatory guidance, train other professionals in required disclosures and disclaimers to assist in their compliance related responsibilities
- Develop tools and workflow with the Sales and Marketing professionals to ensure that all institutional sales materials include required disclosures and disclaimers including regulatory guidance
- Review of Requests for Proposals (“RFPs”), Requests for Information, Due Diligence Questionnaires, and other data requests for compliance with applicable regulatory requirements
- Work with the RFP Team to review and update the RFP database, draft responses to new inquiries, and establish a communication channel to ensure Compliance updates are proactively conveyed to the RFP Team
- Support the maintenance of appropriate recordkeeping for PanAgora’s general advertising, institutional sales and marketing materials general advertising, institutional sales and marketing materials
Additional Compliance Responsibilities
- Develop and maintain policies and procedures for the review and recordkeeping for sales and marketing materials
- Perform review of Adhoc and recurring monthly, quarterly and annual marketing materials
- Assist in the development of forensic testing plans for review of sales and marketing materials and conduct various related forensic tests
- Assist in the preparation of inspection reports and annual compliance reports
- Assist in responding to internal and external audits and regulatory examinations
- Participate in various related data protection, privacy and information security initiatives
- Understand securities laws related to records retention and following departmental procedures related to the maintenance of hardcopy and electronic records for all assigned duties.
Essential Skills and Qualifications:
- Bachelor’s Degree with post graduate or professional certification preferred
- Ten or more years’ experience as a legal and /or compliance professional supporting the compliance function for an Asset Management or Financial Services firm with direct experience reviewing and approving advertising and marketing materials
- Recognized technical leadership when working with members of Investment and Sales and marketing teams in the development of new materials or review of existing materials.
- Familiarity in Document management tools and workflows (e.g. SEISMIC)
- Strong quantitative skills coupled with the ability to analyze/interpret data for reasonableness and resolve prospective issues
- Strong analytical, problem solving and communication skills with knowledge of 1940 Advisors and Investment Company Acts as well as other related regulatory requirements
- Independent, self-starter with a positive, can-do attitude and the ability to follow through and complete tasks in a team environment
- Ability to work individually and with other team members under pressure and prioritize competing tasks that require the highest level of attention to detail and accuracy
- Demonstrates drive for continuous improvement and pursuit of challenging goals
- Excellent oral and written communication skills are required
- Highly proficient with Microsoft Word, Excel and Outlook and skilled generally with learning and administering technological applications
- Willingness to attain the FINRA Series 6 or 7 and 26 or 24 exams as needed to support the job functions if not already registered
Founded in 1989, PanAgora (Greek for across marketplace) Asset Management is a premier provider of investment solutions spanning most major asset classes and risk ranges. We seek to provide investment solutions using sophisticated quantitative techniques that incorporate fundamental insights and vast amounts of market information. While PanAgora’s investment strategies are highly systematic in nature, the processes deployed within these strategies are built and overseen by talented professionals with significant and diverse investment experience. Innovative research plays a central role in our investment philosophy and process and is an essential component of our firm’s ability to deliver attractive investment solutions. Investment teams are organized into an Equity Strategies group and a Multi Asset Strategies group. Most investment team members are engaged in original research using fundamental intuition, market intelligence, modern finance and scientific methods.
We are committed to providing clients with reliable investment processes, consistent performance, transparency, and access to our investment resources. Our client base is comprised of institutional investors across the globe, including public & private retirement funds, sovereign wealth funds, endowments & foundations, and sub-advisory mandates.
Interested candidates should send their resume to [email protected]. All qualified candidates are encouraged to apply. If there is an interest, you will be contacted directly.
PanAgora is an equal opportunity employer and provides equal employment opportunities to job applicants and employees without regard to race, religion, sex, marital status, color, national origin, age, physical or mental disability, veteran status, pregnancy, ancestry or sexual orientation. PanAgora is committed to maintaining an environment that is free from discrimination as well as adhering to applicable federal and state laws.