Compliance Analyst - Zevenbergen Capital Investments

Compliance Analyst - Zevenbergen Capital Investments page is loaded## Compliance Analyst - Zevenbergen Capital Investments locations:
Seattle, WAtime type:
Full time posted on:
Posted Yesterday job requisition :
R799

Virtus is dedicated to the success of employees and helping everyone on our team achieve their goals.

We are a dynamic, fast-growing organization with the resources of a large firm and the innovative environment of an entrepreneurial company that promotes collaboration and employee engagement. Every member of our team is empowered to make a tangible impact in offering clients high-quality investment strategies to meet their financial needs and delivering value for our shareholders.

We are an organization where employees can thrive personally and professionally. Professional development opportunities help employees enhance their skills and grow in their careers. Meaningful financial rewards and a comprehensive package of benefits support employees at every stage of life and encourage work-life balance, and physical, emotional and mental well-being.

We believe in the value of a diverse, inclusive, and respectful work environment and are committed to making a positive impact in the communities where we live and work.##

Job Description 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.
** Opportunity:
** 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.
** Job Responsibilities will include:
** Client Account and Constraint Monitoring
* 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.

Marketing and Client Communication Review
* 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.

Regulatory Compliance Oversight
* 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.

Compliance Program Support
* 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.

Other Responsibilities may include:
* Project efforts in varied business endeavors such as software…