Compliance Analyst

Compliance Analyst

The Compliance Analyst will support the Rockefeller Asset Management's Compliance program, with a focus on testing and monitoring. Responsibilities will also include the development of sustainable controls where control weaknesses are identified during testing. Participation in the firm's CRA and RCSA processes.

Responsibilities

• Participate in the development of the annual Compliance testing plan
• Responsible for maintaining related test-work papers according to Firm standards
• Draft formal reports that summarize key risks, issues and / or recommended actions
• Assist with the development of corrective action plans related to matters identified through testing
• Collaborate closely with the technology team to identify creative solutions and, wherever possible, to enhance automation of surveillance tasks
• Assist in the production of monthly reports and metrics
• Assist with regulatory filings including Sections 13D / G, 13F and 13H
• Provide support to the Portfolio Compliance team on DDQ's, Compliance certifications, and other various tasks as needed

Qualifications

Skills

Compensation Range

The anticipated base salary range for this role is $70,000 to $85,000. Base salary for the role will depend on several factors, including a candidate's qualifications, skills, competencies, and experience, and may fall outside of the range shown. In addition, this role may be eligible for a discretionary bonus. Rockefeller Capital Management offers a comprehensive benefit package including health coverage, vacation time, paid leave, retirement plan, and more. Visit careers.rockco.com to learn more about additional opportunities and benefits offerings.

Disclosure

Rockefeller & Co. LLC, Rockefeller Financial LLC, Rockefeller Trust Company, N.A., The Rockefeller Trust Company (Delaware), Rockefeller Financial Services, Inc. and all other subsidiaries of Rockefeller Capital Management L.P. (individually and collectively, "Rockefeller") is an equal opportunity employer and does not discriminate on the basis of race, religion, sex, gender, sexual orientation, gender identity or expression, national origin, citizenship, age, military or veteran status, marital or partnership status, caregiver status, legally recognized disability, or any other basis protected by applicable federal, state or local law ("protected characteristics").

Rockefeller Capital Management participates in the E-Verify program in certain locations, as required by law.