Compliance Analyst, Finance & Banking

Zevenbergen Capital Investments LLC (ZCI) is a forward-thinking, boutique, investment advisory firm specializing in growth equity investing built on a foundation of fundamental, bottom-up research. We have nearly 40 years of experience serving both institutional and individual clients across the U.S. and are looking to add a top-quality individual to our team in Edmonds, Washington.

We’re looking for a motivated, multi-tasking, Compliance Analyst to assist with our day-to-day compliance functions and processes. This position reports to the Senior Compliance Analyst, and works with the Chief Compliance Officer, to ensure accurate and timely compliance reporting.

The ideal candidate will be entrusted with a high level of responsibility and trust and should welcome challenges, enjoy an interesting and dynamic workflow, embrace a fast-paced environment, be resourceful, curious and able to work independently, possess outstanding project management skills and have the ability to communicate effectively with all members of the ZCI team, as well as outside auditors, vendors and clients.

As a small firm, we highly value the ability to willingly take on a variety of tasks and projects involving multiple functional teams.

• Review of client investment constraints and maintenance of ZCI’s automated compliance monitoring system.
• Preparation and review of client contracts for adherence to requirements as well as ongoing monitoring of client contractual obligations.

• Assist with review of ZCI’s marketing and advertising content for compliance with applicable laws and regulations.
• Assist with review and preparation of ZCI’s responses to clients’ compliance questionnaires and prospects’ requests for information.
• Present and communicate issues in a clear, concise and effective manner to technical and non-technical audiences.

• Assist with the preparation and filing of required SEC regulatory documents.
• Research and documentation of technical compliance and regulatory topics as well as providing management with recommendations for implementation.

• Develop or assist in developing and maintaining written policies and processes for the Compliance department.
• Assist in developing testing procedures of firm data in accordance with regulations and provide results and recommendations to senior leadership.
• Help improve and maintain internal controls with a goal of firm wide risk identification and mitigation.
• Develop appropriate recommendations to correct control deficiencies and help guide control implementation or appropriate mitigation of risks identified through the performance of audits.

• Project efforts in varied business endeavors such as software evaluation and implementation or implementation of regulatory, compliance and legal initiatives.
• Assistance, both in implementing and contributing ideas, as we work towards digitalizing many aspects of firm operations, investment process and client experience.
• Supporting teams across the firm, providing flexible support on tasks and projects.

• Bachelor’s and/or Master’s degree in Business Administration, Finance or Accounting along with an interest in attaining the Investment Adviser Certified Compliance Professional (IACCP) designation or other similar credential.
• Minimum 2 years professional work experience, highly preferred in financial services compliance, federal securities law or public accounting.

· Commitment to the highest standards of integrity, professional and personal conduct.

• Desire to learn more about industry legal and compliance matters. Willing to attend industry group conferences and events to keep abreast of trends and opportunities for the firm to increase efficiency and decrease regulatory risk.
• Exceptional communication skills (written and verbal) with the right level of confidence to present and promote ideas at all levels of the organization and with those outside the firm; collaborative negotiation skills beneficial.
• Exposure to…