Job Description
The Compliance Analyst will, among other items, support the development, implementation and enforcement of compliance policies and procedures, including those related to the Investment Company Act of 1940, the Investment Advisers Act of 1940, and the rules issued under each of them. The Compliance Analyst will also assist with managing the compliance calendar, making various regulatory filings, and helping to execute Trinity’s compliance program.
Duties and Responsibilities
- Partner with the Legal and Compliance teams, including the Chief Compliance Officer and Deputy General Counsel, to implement and refine compliance policies, procedures, and internal controls.
- Conduct periodic compliance risk assessments, testing, and reviews to identify gaps and recommend corrective actions.
- Monitor regulatory developments and communicate relevant updates to compliance leadership and internal business partners.
- Support the preparation, review, and submission of regulatory filings, reports, and disclosures.
- Collaborate with internal stakeholders, including Legal, Operations, and Finance, to address compliance matters and maintain regulatory alignment.
- Assist in responding to regulatory inquiries, examinations, and audits, including document collection and coordination.
- Support the delivery of employee compliance training and development of related educational materials.
- Maintain accurate records of compliance activities, findings, and issue remediation for internal reporting and tracking.
- Identify opportunities to enhance compliance processes, monitoring activities, and overall program efficiency.
Characteristics
- Strong organizational and project management skills
- Strong individual contributor with the ability to work effectively as a member of a growing team
- Well-developed interpersonal skills with an ability to establish credibility and to interact with employees throughout the organization, in addition to external advisors
- Clear and concise written and verbal communication skills
- The ability to collaborate across functional groups and departments
- Ability to handle moderately complex issues and problems and refer more complex issues to more senior compliance team members in a timely manner
- Positive attitude and strong work ethic
Experience
- Bachelor’s degree (financial discipline preferred)
- Minimum 2 years of regulatory experience with a financial institution
- Exposure to the federal securities laws, including, but not limited to, the Investment Advisers Act of 1940 and the Investment Company Act of 1940
Preferred Experience
- Experience with asset management firm with exposure to alternative investments, particularly private credit
- Experience with AML/KYC checks
- Experience with regulatory examiners for financial institutions (responding to regulatory requests, producing documents and/or assisting with respect to examinations)
- Experience researching and interpreting laws and regulations, preferably in a financial institution
Physical Requirements
- Ability to sit, stand, talk, utilize a computer, and read computer screens for extended periods of time
- Maintain consistent, repetitive motion for data entry (typing/clicking)
- Ability to lift up to 20 lbs.
Other
Trinity is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability, protected veteran status, sexual orientation, gender expression, gender identity, or any other characteristic protected by law.