Risk & Compliance Analyst

A leading global firm is seeking a Risk & Compliance Analyst to monitor regulatory frameworks, assess operational risks, and ensure adherence to company-wide compliance standards. The ideal candidate is a detail-oriented and analytical professional with strong research, problem-solving, and communication skills. Working collaboratively, the new team member will strengthen the organization’s compliance posture by maintaining the annual compliance plan, identifying risk exposures, and coordinating audits while fostering a culture of integrity, transparency, and continuous improvement across all business functions.

Salary + Additional Benefits:

• $85,000-$100,000 (Depending on Experience)
• Variable Cash Bonus
• Medical, Dental, Vision Insurance
• 401k – Company Match
• Opportunities for Advancement
• Certification and Education Assistance
• Travel to International Offices

Location: Bay Area, CA
Type of Position: Direct Hire

Responsibilities:

• Monitor the Risk and Compliance System – 70% (Percentage time spent):
• Set the benchmark for the necessary level of knowledge on existing and emerging regulatory compliance requirements across the company.
• Maintain the annual compliance work plan, reflecting the company’s unique characteristics.
• Ensure our operational and financial systems and processes are in accordance with relevant legislation.
• Periodically revise the compliance plan in light of regulatory changes and the company’s evolution.
• Lead and partner the business lines and support functions to ensure risk metrics and risk appetites are defined, documented and applicable thresholds justified through rationales for principal risks.
• Monitor and report key risk areas, including market, credit and liquidity risk measures, and key performance trend, contribution and attribution analytics to portfolio managers, senior management, Investment Committee and Board.
• Perform stress test or ad-hoc scenario analysis on portfolios assigned. Participate in Scenario Analysis through documentation and research of relevant internal and external operational loss events.
• Participate in risk self-assessment program through implementation of the scope review of the significant business units and processes, identify and assess risk areas, advise on the design of risk controls, monitor and coordinate updates of remediation action plans to mitigate the risks areas identified.
• Coordinate efforts related to audits, reviews, and examinations.
• Develop policies and programs that encourage all employees to report any perceived issues or irregularities.
• Coordinate internal compliance review and monitoring activities.
• Imparting Knowledge and Training Activities – 20% (percentage time spent):
• Responsible for establishing and setting the tone of compliance throughout the organization.
• Define the necessary level of knowledge on existing and emerging regulatory compliance requirements across the organization.
• Supervise the employees’ performance in relation to compliance and provide constructive feedback.
• Promote a culture of integrity and ethical decision-making throughout the organization.
• Collaboration with Stakeholders – 10% (percentage time spent):
• Work closely with legal, risk and audit teams to drive the business forward in a compliant way.
• Liaise with external legal attorneys and regulatory bodies on compliance-related issues.

Requirements:

• Bachelor’s degree in business, finance or other relevant field, or equivalent education and experience
• 1-3 years of compliance, regulatory, securities, risk management, or audit experience
• Ability to work independently and effectively deal with multiple departments and employees at all levels
• Strong analytical, problem-solving and research skills
• Candidates with more years of experience may be considered for a senior role
• FINRA Series 7 and 24 registrations preferred or interested in pursuing

Due to the high volume of applications we typically receive, we regret that we are not able to personally respond to all applications. However, if you are invited to take the next step in the process, you will typically be contacted within one week of submitting your application. #LI-DNI