About the Job:
The Salus GRC Analyst supports our client engagements and helps firms meet their regulatory and compliance obligations. This role offers the opportunity to gain hands-on experience in registrations, regulatory filings, compliance monitoring, testing and reviews, and risk assessments. Working within established guidelines, you will develop expertise in financial services compliance while contributing to critical client projects.
What You’ll Do:
The Analyst will work closely with their Salus GRC colleagues and our clients on the following:
- Assist clients in ensuring they comply with relevant regulations, including the Investment Advisers Act of 1940 (the “Advisers Act”), by conducting compliance reviews and assessments, while meeting established service standards.
- Coordinate internal activities to ensure timely completion of client deliverables, including document preparation and meeting scheduling.
- Prepare and submit required regulatory filings and disclosures on behalf of clients, ensuring accuracy and timeliness.
- Proactively provide guidance and assistance to clients in addressing compliance-related inquiries and challenges. Leverage proprietary compliance software and tools to streamline compliance processes and reporting.
- Conduct reviews of personal trading, electronic communications and social media, escalating potential issues and preparing summary reports.
- Assist with maintaining and updating compliance policies and procedures and client training materials.
- Support other compliance-related tasks and projects, as assigned.
What You’ll Learn:
- An in-depth understanding of the financial services industry and regulatory landscape.
- How to apply SEC compliance requirements in real-world scenarios.
- Problem-solving and communication skills essential for client interactions.
- How to manage multiple tasks and meet deadlines in a dynamic and collaborative culture.
What You Bring:
- Bachelor’s degree in Finance, Economics, Business, Law, or a related field or an equivalent combination of experience, education and/or training.
- Basic knowledge of (or a willingness to learn) SEC regulations, the Advisers Act, and related financial industry compliance requirements.
- Strong analytical, research, and problem-solving skills.
- Highly motivated and proactive self-starter.
- Excellent communication and interpersonal skills for effective client engagement.
- Ability to manage multiple tasks, meet deadlines and adapt to a dynamic and evolving regulatory environment.
- High ethical standards, discretion, and the ability to handle confidential information.
- Strong attention to detail, organizational skills and ability to work independently. Proficiency in Microsoft Office and comfort working in a tech-enabled environment.
- 0-4 years of experience (entry-level candidates welcome); prior exposure to financial services or legal/compliance roles is a plus.
