Job Description
Job Description
We are looking to bring on board a Sr. Compliance Analyst for a client in California. As a Sr. Compliance Analyst, you will be responsible for assisting with all aspects of securities and solicitation services within the team, processing data from clients, and serving as the point of contact for clients on assigned cases.
This role offers a short term contract employment opportunity in the industry.
Responsibilities :
- Interface with clients and team members to process and prepare data received for securities or solicitation services.
- Review and analyze Disclosure Statement and Plan for details on voting parties, balloting, and the solicitation package.
- Oversee the creation of templates for Plan Class Report for IT to populate and send to the client for approval.
- Manage tabulation, reporting, and certification of Plan.
- Distribute incoming work among the team and follow up on the status of completion.
- Handle client communications on assigned cases via emails and phone calls.
- Assist with the administration of securities transactions including domestic and international notice dissemination programs, complex processing and allocation methodologies, solicitations, treatment elections, distribution plans, rights offerings, and debt for equity swap.
- Use your knowledge of Business Restructuring, Mergers & Acquisitions (M& A), and Bankruptcy - Chapter 11 to administer securities-based transactions and bankruptcy solicitation services.
- Leverage strong computer skills to meet deadlines and maintain efficient operations.
- Must hold a minimum of 7 years of experience as a Compliance Analyst or a similar role.
- Proven experience in Corporate Actions is mandatory.
- Must have hands-on experience with Mergers & Acquisitions (M& A).
- Proficiency in handling Bankruptcy - Chapter 11 cases .
- Must possess a strong understanding of compliance regulations and corporate governance.
- Excellent analytical and problem-solving skills are essential.
- Must demonstrate strong communication and interpersonal skills.
- Prior experience in equities preferred
- Should be capable of working independently as well as part of a team.
- A bachelor's degree in Business Administration, Law, or related field is required.
- Advanced knowledge of industry practices and professional standards is crucial.
- Must exhibit high ethical standards and integrity in all work-related situations.
- Proficiency in using compliance software and Microsoft Office Suite is necessary.
- Demonstrated ability to maintain confidentiality and handle sensitive information with discretion.
- Exceptional organizational and planning skills are required.
- Must be able to understand and apply complex regulatory requirements.
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