Compliance analyst Jobs in Westminster, CO

Company Overview :

Paralel Technologies is a growing FinTech firm redefining the relationship between asset managers and their back office. We are the premier trusted partner for asset managers and their funds, innovating with technology and serving with compassion. The firm has a registered investment adviser and offers outsourced Chief Compliance Officer services for registered funds as well as full-service fund administration, fund accounting, transfer agency and distribution services from its Denver, Colorado headquarters.

Role Overview :

Paralel is looking for a Compliance Analyst to work closely with other team members to perform compliance oversight activities. This position is a hands-on role involved and overseeing all aspects of compliance activities that include everything from day-to-day compliance monitoring, service provider and investment advisory due diligence, to assisting the Fund CCO with reporting to assigned Boards.

This individual will also work with other Paralel team members to stay abreast of changes to laws and regulations affecting the funds in the U.S.; coordinate with the Fund / Adviser CCOs to ensure adherence to laws and regulations; oversee the revision, preparation, and dissemination of new and updated compliance policies and procedures; and prepare compliance reports as warranted.

Job Responsibilities : (may include and are not limited to)

• Conduct daily portfolio compliance monitoring for registered investment company adherence to Prospectus, Statement of Additional Information (SAI), and other SEC rules and regulations.
• Conduct testing and monitoring under Rule 38a-1 of the Investment Company Act and Fund compliance programs utilizing workflow and other business intelligence and reporting tools.
• Provide assistance in the administration of the firm’s Code of Ethics and corresponding monitoring.
• Ongoing compliance oversight of investment advisers, sub-advisers, and service provider relationships to the funds we support as Fund CCO.
• Identification and monitoring of new or emerging compliance issues and working with others to implement solutions that address these new requirements.
• Preparation of compliance board materials, due diligence materials, questionnaires, presentations etc.
• Potential for occasional travel in order to conduct on site due diligence visits of the advisers, sub-advisers and service providers described above.

Skills and Qualifications

Compensation Range :

Other Compensation :

What We Offer :

A comprehensive benefits package, including :

Paralel Technologies LLC is an equal opportunity employer.

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or veteran status.