Senior Compliance Analyst (Trade)

We are seeking a highly motivated Senior Compliance Analyst to join Vident Asset Management (Vident). This person plays an integral role in Vident’s trade compliance efforts ensuring the firm’s portfolio management and trading activities adhere to securities laws and regulations and account investment guidelines. The successful candidate will be responsible for the development, monitoring, and maintenance of effective trade compliance rules in the firm’s order management systems; and for interacting with internal and external investment management and compliance stakeholders. The position is located in Alpharetta, Georgia, and will be part of the Compliance Department.

Responsibilities: 

• Develop, monitor, and maintain effective pre- and post- trade compliance rules in the firm’s order management systems.
• Analyze daily trading activity to ensure compliance with regulations like the Investment Company Act of 1940 and UCITS, prospectus limitations, and other relevant guidelines.
• Detect and flag suspicious or potentially non-compliant trade activity and raise potential issues to internal and external stakeholders (as needed).
• Continuously improve the accuracy, relevancy, and effectiveness of all trade compliance rules.
• Gather, analyze, and report on compliance-related data, including transaction records, customer information, and regulatory filings.
• Conduct compliance audits and testing to ensure the effectiveness of compliance controls.
• Maintain accurate and complete records of compliance activities, including transaction records and audit findings. 
• Participate in new account onboarding and fund launch calls.
• Build relationships and proactively interact with internal (Compliance, Investment Management) and external (client, fund administrator) stakeholders.
• Stay up-to-date on regulatory changes and interpret their implications for the firm's portfolio management and trading activities.
• Assist in developing and implementing compliance policies and procedures to ensure adherence to regulations.
• Assist in the completion of quarterly and annual compliance questionnaires received from clients and third parties.
• All other duties as assigned.

 Qualifications: 

• Experience with registered funds (ETFs, mutual funds) trade compliance required.
• Knowledge of U.S. securities compliance (Investment Company Act of 1940 and Investment Adviser Act of 1940) and regulated business environments.
• Experience with Bloomberg CMGR or other trade compliance monitoring system.
• Understanding of financial markets and investment industry, including equities, fixed income, and derivative securities.
• Excellent analytical skills with the ability to understand trade and financial data.
• High level of accuracy and attention to detail.
• Ability to effectively communicate compliance issues and recommendations to internal and external stakeholders.
• Possess a high level of initiative, strong multi-tasking skills, self-directed, and highly motivated.
• Solid organizational skills with strong attention to detail.
• Ability to learn quickly and work independently, but also to contribute as part of a team.
• Flexibility to work beyond standard business hours as needed.
• Proficient in Microsoft Office Suite.
• 3-5 years of relevant experience is required.
• Bachelor’s degree or the equivalent combination of education and relevant experience is required.
• Align with Vident Core Values: Inspired Collaboration, Honor & Authenticity, Intellectual Curiosity, Exceptional Performance and Inclusion & Humility.

  What we offer:

• PTO plus 10 paid holidays
• Flexible Working Benefits
• Daily Paid Lunch for Onsite Employees
• Onsite Gym Discount
• Medical, Dental, Vision 
• EAP and Telehealth with Mental Health Support
• Short and Long Term Disability
• SIMPLE IRA with up to 3% Match