Compliance Analyst

We are seeking a highly motivated Compliance Analyst to join Vident Asset Management (Vident). This person plays an integral role in Vident’s compliance efforts ensuring the firm’s activities adhere to securities laws and regulations. The successful candidate will be responsible for the monitoring and maintenance of the firm’s compliance program including Code of Ethics. The position is located in Alpharetta, Georgia, and will be part of the Compliance Department.

Responsibilities

• Monitor and maintain personal trading, outside business activities, political contributions, and gifts and entertainment rules in the firm’s compliance system.
• Detect and flag suspicious or potentially non-compliant activities and raise potential issues to internal stakeholders (as needed).
• Gather, analyze, and report on compliance-related data.
• Conduct compliance audits and testing to ensure the effectiveness of compliance controls.
• Maintain accurate and complete records of delegated compliance activities.
• Build relationships and proactively interact with internal stakeholders.
• Stay up-to-date on regulatory changes.
• Assist in developing and implementing compliance policies and procedures to ensure adherence to regulations.
• Assist in development and provision of compliance training for firm staff.
• All other duties as assigned.
  
  

Qualifications

• Experience with registered investment adviser compliance is a plus.
• High level of accuracy and attention to detail.
• Ability to effectively communicate compliance issues and recommendations to internal stakeholders.
• Possess a high level of initiative and be a self-starter, self-directed, and highly motivated.
• Solid organizational skills.
• Ability to learn quickly and work independently, but also to contribute as part of a team.
• Flexibility to work beyond standard business hours as needed.
• Proficient in Microsoft Office Suite.
• 0-2 years relevant experience is required.
• Bachelor’s degree or the equivalent combination of education and relevant experience is required.
• Align with Vident Core Values: Inspired Collaboration, Honor & Authenticity, Intellectual Curiosity, Exceptional Performance and Inclusion & Humility.
  
  

What We Offer

• PTO plus 10 paid holidays
• Flexible Working Benefits
• Daily Paid Lunch for Onsite Employees
• Onsite Gym Discount
• Medical, Dental, Vision
• EAP and Telehealth with Mental Health Support
• Short and Long Term Disability
• SIMPLE IRA with up to 3% Match