Skip to content
CV Rocket
Get started
How it worksThe enginePricingBlogContactSign in

Open nowPosted 31 days ago

Senior Compliance Analyst - Due Diligence & Compliance Testing

Ultimus39 open roles

Where
80 Arkay Dr, Hauppauge, NY 11788, USA
Get the CV for this job

From $25 per CV, paid once. No subscription.

Your applicationOpen nowSenior Compliance Analyst - Due Diligence & Compliance TestingUltimus · 80 Arkay Dr, Hauppauge, NY 11788, USA

  1. YouYes, apply to this one.

  2. CV RocketCV written for this posting.

  3. 25 readersRecruiter, hiring manager, skeptic. Round after round.

  4. CV RocketApplied on Ultimus's own form.

The reply lands in your private mailbox

3×more interviews than doing it yourself with ChatGPT.

The clock on this job

Early applications get read.

7.8% of postings close within 7 days. Measured by our own scanner across the market.

Share of postings closed within
  1. 1.6%1 day
  2. 3.4%3 days
  3. 7.8%7 days
  4. 14.3%14 days
  5. 33.7%30 days
This job: posted 31 days ago

The posting

SUMMARY The Senior Compliance Analyst is responsible for assisting the Chief Compliance Officer and Manager, Corporate Compliance in the oversight, investigation, documenting and resolving of compliance matters from a due diligence, risk, and regulatory standpoint as it pertains to Ultimus Fund Solutions (UFS).   KEY ACCOUNTABILITIES COMPLIANCE TESTING

Conducts and coordinates compliance testing of UFS policies and procedures. Provides feedback and suggestions on compliance with test planning, assessment of test results and control enhancements (if applicable) with controls owners. Assists the Manager, Corporate Compliance and control owners in evaluating key risk indicators. Assists in updating UFS Compliance Manual, as required, by suggesting edits based on results of recent compliance testing.

COMPLIANCE ADMINISTRATION

Supports administration of UFS Compliance Program, including the UFS Enterprise Risk Management Program. Maintains resources utilized by the Corporate Compliance team to support Compliance testing, such as client or fund listings. Prepares the initial draft of quarterly compliance certifications. Prepares and supports various compliance related committees and working groups, including preparation of meeting materials, maintenance of meeting minutes and tracking of follow-up and deliverables. Assists with monitoring adherence to UFS Policies and Procedures. Escalates issues of concern immediately to Chief Compliance Officer. Presents compliance testing results and recommendations to UFS Pricing Committee and UFS Compliance Committee. Assists with preparation for regulatory examinations and audits; provides support during examinations and audits.

WORKING RELATIONSHIPS

Mentors associates through instruction, coaching, providing real-time on-the-job experiences, modeling effective practices, and advising on methods used. Daily contact with Corporate Compliance associates. Daily contact with internal associates while performing routine compliance testing of UFS policies and procedures.

May perform other duties as required and assigned.   EDUCATION AND EXPERIENCE

Bachelor’s degree in business administration or related field. 5+ years of related compliance experience. Experience working in Financial Services industry. Equivalent education and experience will be considered.

KNOWLEDGE

SEC and FINRA rules and regulations. Microsoft Office Suite. Adobe Acrobat.

SKILLS AND ABILITIES

Aligns associates with company values and goals. Plans and delegates the work of others. Motivates and inspires others. Assesses the performance of self and associates to make improvements or take corrective action. Plans and develops systems and procedures to improve operating quality and efficiency of department in accordance with company policies and procedures. Troubleshoots issues utilizing creative and critical thinking skills. Multitasking, analytical, and organizational skills. Initiative-taking, strategic, and meticulous approaches with a strong commitment to quality, efficiency, and effectiveness. Demonstrates personal integrity, responsibility, and accountability. Effectively uses resources such as time and information in conjunction with associates. Participates in solving problems and making decisions. Presents and expresses ideas and information, written and oral, clearly, and concisely. Actively listens to others to achieve understanding and supports an open exchange of ideas and information. Identifies needs, arranges for, and obtains resources to accomplish individual and department goals. Establishes and develops effective working relationships with associates and clientele during both favorable and unfavorable situations. Modifies team and individual priorities and deadlines in response to added information, changing conditions, or unexpected obstacles and ensures completion.

 

From $25, paid onceGet the CV for this job

What happens when you press

One press. We do the rest.

  1. A CV for this posting

    Written against Ultimus's own wording, from every piece of relevant proof in your profile.

  2. 25 readers review it

    Recruiter, hiring manager, skeptic and more read every draft, round after round. You get the best round.

    The review screen in CV Rocket: how each CV was read, round by round.

  3. We apply on Ultimus's form

    Our application engine gets through the hardest forms there are. Where a question needs you, AI suggests the best answer. Don't want us applying from our IP addresses? Use our Chrome extension: we apply straight from your own browser.

    An application in CV Rocket: every answer filled in on the employer's form.

  4. Every reply, sorted

    Ultimus's answer lands in your private mailbox, and we classify it on arrival: interview, question, rejection.

    The CV Rocket inbox: each employer reply classified as an interview, an action or a rejection.

  5. Reply with AI

    AI helps you write the email, checks it and sends it. We show you whether the recruiter read it.

  6. The interview in your calendar

    Full integration with your calendar. The invitation goes straight in.

    An interview invitation in the CV Rocket inbox, added to the candidate's calendar.
Get the CV for this job

From $25 per CV, paid once. No subscription.

Why it works

3×

more interviews than doing it yourself with ChatGPT.

ChatGPT writes a CV and never learns what happened to it. We see every reply. For each CV we know:

  • How it was written, and how the review scored it
  • When we applied, and how long after the posting went up
  • Which posting, which company, which city
  • Who got the interview, and who heard nothing

That is how we know which CVs get called.

Get the CV for this job

From $25 per CV, paid once. No subscription.

The numbers game

More applications. More interviews.

Every application goes out with its own CV, written for that posting and paid once. Send enough of them and the law of large numbers finds you the job.

Get the CV for this job
By hand5–10
With CV Rocket100
applications a day

Nearby

Live postings like this one

Same employer first, then the same role elsewhere.

Before you press

Straight answers

Get the CV for this job

From $25 per CV, paid once. No subscription.

What if my background isn't good enough?

We make the most of the background you have. The CV uses every piece of relevant proof your profile holds, and one of the 25 readers reads your whole profile and flags what the CV left out.

Do you really apply for me?

Yes, on the employer's own form, the hardest ones included. Where a question needs you, you answer it right there and AI suggests the best answer. Don't want us applying from our IP addresses? Use our Chrome extension: we apply straight from your own browser.

Is it a subscription?

No. You pay once per CV, from $25. Every application goes out with its own CV, written for that posting.

One job. One CV.
Paid once.

Pick the posting you want. We write for it, apply for you and catch the reply.

Get the CV for this job

From $25 per CV, paid once. No subscription.