MBPS
Financial Services
SeniorAnalyst,GWAMDistributionCompliance
“Senior Analyst, GWAM Distribution Compliance at MBPS. Skills: Distribution Compliance, Regulatory Compliance, Financial Services. Perform compliance reviews. Ensure sales, marketing, and distribution conform”
Industry & Context.
Analytical and problem-solving skills; Application of sound judgment
What They're Looking For.
Must Have
1–3 years of experience in Investment Management, Asset Management, or within financial services, distribution compliance, or other regulatory compliance–related roles, College/University degree and/or equivalent experience in Business, Finance, or a related field
Nice to Have
Working knowledge of the investment, asset management, and mutual fund business and corresponding matters related to the distribution of institutional and high net worth products, Prior knowledge of (US/CAEA) marketing compliance rules and regulations, Good knowledge and understanding of regulatory, legal and industry issues facing the asset management industry, Demonstrated ability to work independently in a fast paced, deadline‑driven environment with minimal supervision, Excellent interpersonal skills, with the ability to communicate effectively and professionally with all levels of staff and stakeholders, Excellent verbal and written communication skills, organizational, prioritization, and time management skills, with the ability to manage competing priorities simultaneously, Detail oriented and a quick learner, with demonstrated ability to deliver high‑quality work within tight deadlines, analytical and problem-solving skills, including the application of sound judgment, Professional knowledge of the financial services industry, including insurance, banking, and asset management, Proficiency in MS Office applications, including MS Word, Excel, and PowerPoint, Flexible and adaptable in a changing environment, with cultural awareness, Ability to work independently and under pressure while maintaining consistency and quality
What You'll Do.
Perform compliance reviews
and distribution conform
Apply independent judgment
Provide guidance and support
communications materials
Carry out compliance monitoring tasks
Assist in implementing standards and controls
Collaborate on compliance team projects
Maintain working relationship
Document workflows and process narratives
Assist team members with tasks
How You'll Work.
Team & Collaboration
Collaborate on compliance team projects; Share best practices with other team members; Maintains good working relationship with the team, business unit and stakeholders; Assist team members with tasks and assignments
Communication Scope
Excellent interpersonal skills; Communicate effectively and professionally; Excellent verbal and written communication skills
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