Compliance Analyst

Kennedy Capital Management LLC (KCM) is a St. Louis-based boutique investment firm focuse d on small and mid-cap domestic equity markets for more than 40 years.  We are adding a Compliance Analyst to our onsite team.  Because this position works in our St. Louis, MO office are seeking a local candidate.

Position Summary

The Compliance Analyst contributes to the ongoing development of KCM's compliance and risk management program, providing day-to-day compliance function support.

Essential Functions

• Conduct daily trade surveillance and investigate exceptions.
• Analyze client guidelines to implement and monitor investment restrictions.
• Create and maintain internal and client restricted security lists.
• Enforce and monitor the firm's Code of Ethics requirements, reporting and approval of personal trades.
• Create and administer routine and periodic employee attestations.
• Conduct trend analysis and assist in the development and updating of surveillance routines and the production of reports.
• Monitor and prepare regulatory filings.
• Review the firm's marketing related materials and communication.
• Manage and work with custodians to establish broker-feeds related to employee personal securities trading accounts.
• Answer employee questions, assist w / employee compliance training and in creation of compliance records.

Preferred Qualifications and Skills

We Offer

Kennedy Capital Management LLC is an Equal Opportunity Employer.