is now part of

Learn more

Compliance Analyst – Boston, MA

New York City-based private equity fund administration firm is looking for a Compliance Analyst to assist the Compliance team in all administrative tasks related to the AML Services for new and existing clients/investors.

Administrative Functions

· Collect and retain all client/investor documents from various sources for AML/KYC, FATCA and CRS.

· Maintenance and centralization of AML/KYC, FATCA and CRS documents and data. Collection and reconciliation of data for implementation of CRM system.

· Maintain control and tracking logs for completed and open of compliance items.

· Track statuses of key legal, compliance, and tax documents/information as needed.

· Liaise with various internal departments (client servicing teams, operations, IT, etc.) and external parties (clients, law firms, third party service providers, etc.).

 

Compliance Responsibilities

· Review client/investor documents to identify and compile key information required to perform Compliance Services including AML/KYC, FATCA, and CRS. Documents to include, but not limited to, subscription documents, tax forms, self-certification forms and other supporting AML/KYC documents.

· Maintain and update client/investor database with key compliance information based on new compliance reviews and existing contracted clients. Ensure all documentation (e.g. tax forms) is current, not expired and completed.

· Escalate with the Director of Compliance of any compliance issues, open items, missing or expired documentation that need to be escalated to CS team, client and/or third party resources.

· Using Thomson Reuters application, World-Check, and TINCheck, scan all names related to investors as extracted from subscription and AML/KYC documents and to document the results.

· Ensure all documents/reports are maintained in proper locations to include AML/KYC, FATCA, and CRS results, client report letters, client invoices, client/firm servicing contracts/pricing and third party resource statements.

· Ensure compliance checklists are completed for each review and signed. Ensure all steps are followed for control purposes.

· Maintain and update current client lists and contracts specific to compliance reviews and pricing. Assist in research of client database on potential existing clients in which the firm can extend Compliance Services to.

 

Job Requirements, Skills, Education and Experience

· Bachelor’s Degree plus 1-3 years of relative work experience.

· Private Equity background. Must be familiar with, and able to review, Private Equity subscription documents.

· Must be familiar with, and able to dissect, AML documentation and formation documents; Trust Agreements, LP /LLC Agreements, Certificate of Formations, Article of Associations, tax documents, identifying documents, etc.

· Familiarity with WorldCheck and TINCheck (optional)

· CAMS certified

· Strong ability to gather, track and centralized information/documents.

· Excellent data entry and reconciliations of systems and ongoing maintenance.

· Microsoft applications proficient. Strong EXCEL skills (formulas, pivot tables, VLOOKUPs).

· Excellent verbal, written and interpersonal communication skills. Must be extremely detail oriented and highly organized.

· Efficient time management skills and the ability to maintain control over information and documents to meet client, firm and reporting deadlines