Operations Support / Compliance Analyst recruitment
While Taiyo continues to be excited about and deeply committed to opportunities in Japan, we also see opportunities to take our successful model from Japan to the rest of Asia. Taiyo currently invests approximately $2bn in private and micro-cap to mid-cap public companies in Asia. We are seeking a Operations Support / Compliance Analyst to be based in our Kirkland, WA offices.
Position Summary:
The Operations Support / Compliance Analyst performs compliance monitoring, data analysis, and review and update of the firm’s written compliance procedures. Reporting to the Chief Compliance Officer (CCO) this position is responsible for implementing and maintaining the firm’s internal testing processes related to applicable regulations and mitigating risk. This position requires daily interaction, coordination and collaboration with staff at all levels of the organization and knowledge of the firm’s processes and procedures and SEC regulations.
Key responsibilities are expected to include the following:
- Monitor rule changes and draft new/revised compliance policies for approval by the CCO and subsequent dissemination throughout the organization
- Work with the CCO and others, to interpret regulations and firm policies with respect to specific transactions or activities
- Update and amend the Compliance Calendar as necessary to reflect all compliance procedures and work performed
- Carryout compliance test procedures as calendared, records results and works with the CCO to implement mitigation or correction as needed
- Implement specific Compliance projects as assigned by the CCO
- Assist with annual company-wide compliance training and education
- Review and research applicable laws and procedures as necessary
- Review and monitor required trade, allocation and other operations records
- Review operational procedures, design and implement compliance testing as appropriate
- Liaise with compliance consultant and coordinate schedule to maximize skill development and knowledge transfer
- Assist with opening trading and prime broker accounts
- Review of fund offering documents
- Assist with regulatory examinations
- Other duties as assigned
Skills Experience:
- Bachelor’s degree or equivalent combination of advanced training and experience
- 5 or more years experience within the financial services industry, along with general knowledge of current SEC rules and regulations is preferred
- Prior experience monitoring investment activities and working in a compliance role is preferred
- Demonstrate sound business judgment in achieving compliance with regulatory requirements and risk management practices
- Exceptional problem solver with a “can do” attitude, self-starter, takes ownership of job responsibilities
- Strong written and verbal communication skills with the ability to interface professionally with all levels of the organization
- Ability to analyze work flow processes, identify weaknesses and risks and to develop recommendations for improvement and to escalate issues to CCO
- Strong initiative with the ability to work independently on daily tasks and projects
- Effective time-management with strong organizational/planning skills
- Must be able to maintain strict confidentiality of sensitive information
- Must have ability to multi-task along with excellent attention to detail
- Work well under pressure with ability to meet tight deadlines
- Solid MS Office skills (intermediate Excel and basic Word)
- Ability to handle increasing levels of responsibility as needed
COMPENSATION AND BENEFITS
- Competitive compensation based on experience and abilities
- Annual bonus will be based on individual and firm performance
- Full benefits (healthcare/401k plan)
Interested applicants should send a resume and cover letter by clicking "APPLY ONLINE"