Compliance analyst Jobs in Sterling Heights, MI

Position is located in either Rochester or Bloomfield Hills, MI or may be Scottsdale, AZ for candidates with previous compliance experience.

In this role, you will be part of a team responsible for the administration, analysis and testing of the firm’s compliance program. You will report directly to the Chief Compliance Officer, but will interact and collaborate with individuals across all business units. Candidates with legal, audit, or finance backgrounds, but without compliance experience, are encouraged to apply.

The ideal candidate will be a self-motivated, organized, dedicated, and focused individual capable of effectively communicating with colleagues with the ability to multi-task by changing activities with little notice.

Responsibilities :

• Provide general support to the CCO on routine and ad hoc projects
• Compile, review and analyze data for purposes of ensuring compliance with the firm’s policies and procedures
• Oversee administration and operation of the firm’s personal trading system for employees
• Monitor and report on adherence by portfolio managers to client investment guidelines
• Perform periodic quality control reviews of client account records
• Ensure timely filing of all required regulatory reports, including the firm’s client brochure (Form ADV) and various holdings and proxy voting reports (Section 13 and Form N-PX)
• Draft written reports and file memos documenting results of reviews and analyses and resolution of any identified issues

Other Potential Responsibilities (Depending on Qualifications / Experience) :

Preferred Qualifications :

Clarkston pays a compensation package which includes a base salary, discretionary performance bonus, and a generous benefits package. Before making an offer, we take into consideration an individual’s experience level and the qualifications they bring to the team to formulate a competitive total compensation package.