Compliance Analyst, Advisory Asset Management

Segall Bryant & Hamill is an investment firm with locations in Chicago, Denver, New York, St. Louis, and Philadelphia. For more than a quarter century, SBH has been helping investors realize their long-term investment objectives through a time-tested, disciplined process. We offer a wide range of investment strategies and aim to build long-lasting relationships with our clients in the Advisor Solutions and Institutional channels.

Segall Bryant & Hamill is an equal opportunity employer, and all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability status, protected veteran status, or any other characteristic protected by law.

Segall Bryant & Hamill is a wholly owned subsidiary of Corient Management LLC, which is a wholly owned subsidiary of Corient Holdings Inc., headquartered in Miami, Florida. Corient Holdings Inc. is a wholly owned subsidiary of CI Financial Corp. (TSX: CIX)

Summary

The ideal candidate will have had experience with securities laws, rules and regulations applicable to registered investment advisers and private fund offerings, in particular the Investment Advisers Act of 1940 and Investment Company Act of 1940. Additionally, the candidate must possess an understanding of the business operations, practices, procedures, and controls specific to the business units supported. The candidate must be able to take ownership for the delivery of projects while also operating successfully in a cross-functional team environment. This position reports to the Compliance Manager – Asset Management and offers an opportunity to make a significant impact on our firm's success and reputation.

Key Accountabilities

• Maintain, update, and oversee the compliance monitoring tools to aid in the adherence to client guidelines and the enforcement of the Code of Ethics and Compliance Manual.
• Analyze client investment guidelines to implement and monitor investment restrictions.
• Compile various data requirements for financial and regulatory reporting to various agencies.
• Collaborate with the Compliance team on review of regulations and make appropriate updates and recommendations to regulatory documents, policies, and procedures.
• Prepare and assist in completing and reviewing periodic compliance and due diligence questionnaires.

Pay Information

This position is exempt and is paid according to the laws of the State of CO. The pay range for this position is $74,000 - $95,800 per year. We are required to provide a reasonable estimate of the compensation range for this role. This range takes into account the wide range of factors that are considered in making compensation decisions including but not limited to experience, skills, knowledge, abilities, education, licensure and certifications, and other business and organizational needs. It is not typical for an individual to be offered a salary at or near the top of the range for a position. Salary offers are determined based on final candidate qualifications and experience.

Qualifications

• Bachelor's Degree required, preferably in a business-related area of study, additional certifications a plus.
• 2 years of work experience in compliance with a Registered Investment Adviser, preferably with asset management industry knowledge.
• Commitment to high ethical standards.
• Strong writing and verbal communication skills.
• Must be thorough, detail-oriented, and function with a high degree of accuracy.
• Must be persistent, self-motivated, and able to function with a high degree of independence.
• Ability to work on multiple projects while meeting competing deadlines.
• Effective analytical abilities are required, including solid research skills and the ability to recommend solutions from that analysis.
• Desire to keep abreast of best practices as well as evolving issues within scope of the position is required.
• Desire to further develop and foster strong interpersonal relationships to maintain effective cross-functional teams.
• Proficient in MS Office (Outlook, Word, Excel, PowerPoint, Teams).
• Knowledge of the following software is a plus:
• Advent Rules Manager, APX, Moxy, and/or other investment compliance and/or trading systems

WHAT WE OFFER:

• SBH offers a culture defined by a core set of values which guide the advice we provide, the strategies we recommend, the way we manage client portfolios and the way we treat our employees. These values are Integrity, Trust, Humility, Curiosity, and Inclusion.
• SBH offers a diverse and inclusive work environment where individuals from varied backgrounds are brought together, treated with respect, supported and valued so that the firm and its employees, clients and community will benefit from a strong culture, diversity of thought and more robust decision making.
• SBH offers autonomy and accountability.
• SBH offers benefits and work/life balance to meet each employee at their stage in life
• SBH offers programs so employees can take an active role in the communities where they live & work.
• SBH offers a performance management program and a dedicated Compensation Committee to ensure competitive compensation packages

U.S. Eligibility Requirements

• Must be 18 years of age or older.
• Must be willing to submit to a background investigation; any offer of employment is conditioned upon the successful completion of a background investigation.
• Must have unrestricted work authorization to work in the United States. For U.S. employment opportunities, Corient hires U.S. citizens or permanent residents. Exceptions to these requirements will be determined based on shortage of qualified candidates with a particular skill. Corient will require proof of work authorization.
• Corient participates in E-Verify and will provide the federal government with your Form I-9 information to confirm that you are authorized to work in the U.S. If E-Verify cannot confirm that you are authorized to work, this employer is required to give you written instructions and an opportunity to contact Department of Homeland Security (DHS) or Social Security Administration (SSA) so you can begin to resolve the issue before the employer can take any action against you, including terminating your employment. Employers can only use E-Verify once you have accepted a job offer and completed the Form I-9.
• Must be willing to execute Corient’s Employee Agreement or Confidentiality and Non-Disclosure Agreement, which require, among other things, post-employment obligations relating to non-solicitation, confidentiality, and non-disclosure.