Perella Weinberg Partners

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Compliance Analyst/Associate

Compliance Analyst/Associate

Job ID 
2018-1417
City 
Houston
State 
Texas

More information about this job

Overview

Perella Weinberg Partners is seeking an experienced Compliance Analyst/Associate who will assist the Chief Compliance Officer with coverage of regulatory matters across the various divisions in our holding company structure.  Reporting to the Chief Compliance Officer, the ideal candidate must be a highly organized self-starter, with the ability to multi-task and prioritize responsibilities with a strong focus on attention to detail, initiative to identify and analyze problems, conduct research, generate alternative solutions and make decisions.

 

Responsibilities Include:

  • Review and process all mattes related to FINRA related registrations
  • Audit existing policies and procedures to ensure effectiveness
  • Assist with regulatory and legal inquiries through preparation of correspondence and gathering responsive documents
  • Coordinate discovery and investigative responses for CCO review
  • Ensure compliance with regulations and controls by examining and analyzing records, reports, operating practices, and documentation; recommending opportunities to strengthen the internal control structure
  • Assist in the review of client data for anti-money laundering and know-your customer processes
  • Complete compliance audit work papers and memorandum by documenting audit tests and findings
  • Update and review of the FINRA Gateway system
  • Accomplish firm goals by accepting ownership for new and different requests; exploring opportunities to add value to job goals
  • Liaise between Chief Compliance Officer and other members of the firm
  • Work with and securely maintain confidential information
  • Limited travel/field work as required
  • Special projects and other tasks as assigned

Desired Skills and Background:

  • Bachelor’s degree and 3-5+ years of compliance experience, preferably in financial services
  • Series 7 and 24 licenses required (Series 63 preferred)
  • Strong analytical and problem-solving skills with indisputable attention to detail
  • Advance experience with MS Word, Excel, PowerPoint, Outlook
  • Outstanding oral, writing, editing and grammatical skills
  • Team-oriented with the ability to work independently
  • Intuitive sense of honesty and highest ethical standards
  • Must maintain high level of professionalism at all times

   

About Perella Weinberg Partners

Perella Weinberg Partners is a leading independent, client-focused financial services firm providing advisory, asset management and energy securities research, underwriting and trading services to a broad, global client base, including corporations, institutions and governments.  Together with its affiliates, the Asset Management business has capital commitments and managed assets of approximately $13.7 billion.  With more than 650 employees, Perella Weinberg Partners maintains offices in New York, Houston, London, Abu Dhabi, Austin, Calgary, Chicago, Denver, Dubai, Los Angeles, and San Francisco. For more information on Perella Weinberg Partners, please visit http://www.pwpartners.com.