Senior Compliance Analyst

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Driehaus Capital Management is a privately held investment management firm that manages international developed, emerging markets, US growth equity and alternative investment strategies. The firm has a diverse institutional client base comprised of corporate and public pensions, endowments, foundations, sub-advisory, family offices, wealth managers and financial advisors, globally.

We are seeking a Senior Compliance Analyst who will be responsible for assisting the Chief Compliance Officer in carrying out compliance activities for the investment adviser and mutual funds. The Senior Compliance Analyst analyzes and reports on compliance with policies and procedures of the Firm and guidelines and restrictions of the Firm’s clients. The Senior Compliance Analyst will also be responsible for coordinating registrations and reporting to a non-affiliated broker/dealer distributor.

Responsibilities include:

  • Conducting daily, periodic and special compliance reviews involving the analysis of relevant documents, utilization of software tools, and inquiries of knowledgeable personnel
  • Monitoring compliance with investment guidelines and restrictions for mutual funds and individual client accounts
  • Reviewing, documenting, and maintaining accurate, complete, and organized records substantiating all compliance research
  • Presenting timely reports (orally and/or in writing) detailing compliance research findings and conclusions and making appropriate recommendations for further action
  • Working with and acting as a liaison between departments to ensure functions are performed in accordance with compliance policies and relevant regulations
  • Proactively assisting in the identification and mitigation of industry-wide and Firm-specific risks
  • Coordinating the analysis, design and practical implementation of controls into the Firm’s and its affiliates’ compliance policies and procedures in response to current and proposed securities rules and regulations as well as evolving business needs

Requirements:

  • Undergraduate degree and 5-8 years of relevant experience in the securities industry
  • Licensing: Series #7 and #24
  • Strong knowledge of mutual fund, investment adviser and broker dealer regulations
  • Strong technical knowledge and excellent writing skills
  • Team player and collaborator with strong attention to detail and excellent communication skills
  • High impact individual who is able to think independently and make decisions quickly

Driehaus Capital Management LLC provides equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local laws.

Interested candidates must send resume to HR@driehaus.com and reference job code [SCA] when applying.

Apply Now: Submit a Resume and Cover Letter To

HR@Driehaus.com

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