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Compliance Analyst

Chicago, United States

Job description

At Harris, the true value of what makes us successful is found in our people. It is our unique mix of cultures, experiences, beliefs and backgrounds that sets Harris apart from the rest.  We constantly strive to cultivate, nurture and amplify an unparalleled environment, where we value intellectual curiosity and uniqueness of thought.  Inclusion is embedded in the very fabric of our culture of collaboration and openness.

We understand that a job description only tells one part of a broader story, and Harris is seeking dynamic candidates who can add to our best-in-class environment. We recognize that qualifications can be gained through both traditional and non-traditional paths, and we are committed to considering candidates who possess the potential to be excellent in this role regardless of prior experiences.  

Therefore we encourage ALL interested individuals to submit their applications, even if they do not meet every requirement outlined in the job description. 

Key Responsibilities

  • Conduct post-trade compliance monitoring to ensure compliance with regulatory requirements and client guidelines
  • Assist with the review of daily system-generated reports, including trade activity reports
  • Assist with managing the Firm’s code of ethics/personal trading policies utilizing compliance software
  • Liaise with employees to ensure all necessary personal trading information is provided to enable trade monitoring in accordance with regulatory requirements
  • Help with preparation, delivery and tracking of pertinent compliance trainings
  • Prepare and respond to periodic investor requests including due diligence questionnaires and other certifications
  • Identify ways of creating efficiencies/improving processes to the investment compliance program using best practices
  • Undertake ad-hoc compliance-related projected as assigned

Position Qualifications (Knowledge, Skills, Responsibilities)

  • Bachelor's degree with a minimum 2 years of relevant compliance related experience
  • Knowledge of with applicable laws, rules and regulations for investor adviser
  • Familiarity with Code of Ethics and compliance best practices
  • Comfortable working efficiently and effectively on multiple deadlines
  • Excellent PC skills with high proficiency using MS Office (e.g., Word, Excel, SQL Server) and adept at analyzing data (i.e., using SQL, v-lookup, pivot tables, etc.)
  • Team player with the ability to take initiative on new projects; must have a professional demeanor with a long-term interest in compliance
  • Prior experience in order management systems (i.e. Bloomberg, Charles River, Eze Castle)
  • Prior experience with code of ethics platforms (i.e. ACA, Star Compliance

Characteristics and Attributes

  • Effective written and oral communication skills
  • Exceptional attention to detail and organizational skills
  • Strong conceptual and critical thinking skills
  • High level of integrity and professionalism
  • Excellent interpersonal skills with the ability to work independently and as a member of a team
  • Driven by collective success
  • Self-starter who has the desire to constantly improve status quo

Special Requirements

  • This position requires remote after-hours support work to resolve compliance alerts that occur during nightly system updates
  • Accessibility by email and/or phone during non-business hours

Equal Employment Opportunity Policy Statement
Harris Associates L.P. pursues a policy of equal opportunity in all areas of employment including recruitment, hiring, training, compensation, benefits, advancement, and treatment on the job. This means that Harris does not discriminate against employees, or qualified applicants, based on an individual's race, color, religion, creed, sex, age, national origin, physical disability, sexual orientation, trans-gender status, transsexual status, status as a veteran or disabled veteran, genetic information or for any other reason prohibited by law.  Harris reserves the right to review publicly available information about applicants (i.e., via social networking sites), to the extent permissible under applicable law.

Reasonable Accommodation Notice
We provide reasonable accommodation for individuals with disabilities and disabled veterans in job application procedures. If you have any difficulty using our online system and you need an accommodation due to a disability, you may use the alternative email address below to contact us about your interest in employment at HR@harrisassoc.com or you can call us at 312-646-3600.

Privacy Statement
The information you send to us is used for employment purposes only. What you send is kept confidential—we will not give your personal information to outside parties without your consent.

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Offices

Harris Associates

Harris Associates is an asset management firm. The firm provides investment management services to individuals and families, pension funds, foundations, endowments, and other clients. They focus on value investing, which goes beyond short-term performance, focusing on long-term quality and returns.

Industries

Investment Management, Professional Services

Headquarters

Chicago, United States

Employees

51-200

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