Senior Compliance Analyst
About this role
Senior Compliance Analyst Req #216080 Arkay Dr, Hauppauge, NY 11788, USA
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.
Read the full description on TalentApply
Create a free account to see the complete job description, how well your CV matches this role, and apply in one click.
AI rewrites and formats your CV so it reads well and gets past screeners.
Get your match percentage for this exact role before you spend time applying.
Send a polished application in one click — no retyping the same details.
Follow every application in one place instead of digging through your inbox.
Free account · No card required
Your next opportunity starts here
Prepare, apply, track, interview and get hired — all from one platform, with AI in your corner.