Compliance Analyst

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Job description

About Rockefeller Capital Management:
Rockefeller Capital Management was established in 2018 as a leading independent financial advisory services firm. Originally founded in 1882 as the family office of John D. Rockefeller, the Firm has evolved to offer strategic advice to ultra- and high-net-worth individuals and families, institutions, and corporations from offices in 30 markets throughout the United States, as well as an office in London. The Firm oversees $133 billion in client assets as of March 31, 2024.

Position:
Rockefeller Capital Management is seeking a Compliance Analyst with prior brokerage or other financial industry experience to support the Firm's Code of Ethics policies and procedures program, including regulatory obligation management, reporting, surveillance, internal controls testing, policy and procedure development, and special projects. The ideal candidate will have strong administration and investigative skills, a background in the financial sector, the ability to collaborate with others, and prior compliance experience. The role entails daily monitoring of employee activity, including escalations and/or investigations of potentially suspicious activity.

Responsibilities:
Support of the Code of Ethics program including but not limited to: personal securities trading, outside business activities, political contributions, and gifts and entertainment.

Assist in the administration of the Code of Ethic platform.

Administer trading restriction lists and rules engines in the Star Compliance system, including updating rule configurations as needed.

Perform surveillance oversight of employee trading and other activity to ensure compliance with the Firm's Code of Ethics.

Review of employee requests including but not limited to private transactions, outside business activities, and political activities in line with regulatory requirements and firm policies and procedures and escalate as needed.

Develop compliance training related to the Firm's Code of Ethics policies and procedures.

Update policies and procedures and draft firm-wide communications.

Serve as a point of contact for other departments, service providers, and counterparties.

Provide Code of Ethics related data for senior management and audit reviews.

Assist in internal and external audits, regulatory examinations, and various compliance projects inquiries.

Support team members with ad hoc requests.

Qualifications:
BS/BA

Minimum 2 years of relevant legal or compliance experience

Knowledge of Microsoft Excel and database query skills

Strong working knowledge and experience with Code of Ethics surveillance platforms, preferably Star Compliance system

Series 7 is a plus

Skills:
Strong attention to detail

Strong research, analytical and problem-solving skills

Ability to adapt to new changes and new challenges

Ability to prioritize workflows and ensure deadlines are met

Ability to forge strong relationships with colleagues and clients

Ability to work independently and yet still be team-oriented

Excellent written and verbal communication skills

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.

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