Compliance Analyst

Public Trust Advisors is looking for aCompliance Analystto join our Compliance team in Denver, Colorado.Founded in 2011, Public Trust is a client-focused, independent investment advisor that specializes in managing and servicing the investment needs of local governments nationwide.

OurCompliance Analystwill join a staff of likeminded professionals dedicated to providing a one-stop-shop for cost effective investment management and advisory services for the public sector.Together we assist local governments, increasing investment income for their communities allowing them to finance more projects, hire new people, expand payroll, and increase reserve funds.

Ideal candidates will have work experience in at least one of the following areas: Regulatory, Compliance, Finance (fixed income), or Auditing/Accounting and have developed exceptional organizational and interpersonal skills with the ability to collaborate and delegate. Public Trust is a dynamic workplace offering a hybrid work schedule, exceptional PTO and benefits plans to our team of 85+ employees throughout the US. Our culture supports the employee as a person and a professional. When you work for Public Trust, you are part of a team and are treated like family.

Job Summary

The Compliance Analyst is primarily responsible for assisting in the compliance oversight and administration within the organization. The position will assist in managing all compliance matters for Public Trust and our underlying investment products. The Compliance Analyst will report directly to the General Counsel & Chief Compliance Officer (CCO).

Responsibilities

All below mentioned items will either be assisting the compliance team or delegated tasks:

• Assist with the Firm's compliance and regulatory matters.
• Review of marketing materials and Requests for Proposals (RFP) prior to distribution
• Conduct periodic compliance testing and prepare reviews of various compliance and regulatory policies and procedures
• Compile data and coordinate the preparation of various compliance reports
• Onboarding and offboarding employees with respect to various compliance department systems and monitoring compliance with initial reporting requirements
• Managing and monitoring the Company's Code of Ethics reporting platform, Star Compliance, including onboarding new employees, adding and monitoring employee brokerage accounts, outside affiliations, political contributions, certifications, questionnaires, policies and procedures, and the review of monthly and quarterly reportable items
• Tracking compliance tasks, tests and activities
• Managing the Company's vendor management process to review and monitor the Company's vendors
• Managing the Company's technology platform used to monitor employee political contributions
• Responsible for quarterly review of employee political contributions, outside business activities and social media sites
• Reviewing electronic communications, including email, messaging, etc., through the Company's technology platform, Smarsh
• Review and monitor custodial statements for the Company's pooled investment vehicles
• Monitor various Company transactions and inquiries, and track related items
• Assist in preparation of annual compliance reviews and quarterly Regulatory, Compliance and Conflicts Committee meetings
• Responsible for maintaining compliance-related documents
• Respond to regulatory requests for documents and information
• Maintain various department logs,
• Regularly update the CCO of all compliance matters.
• Develop and maintain ongoing compliance education and provide training to Firm personnel.
• Maintain the Firm's investment adviser registration, including ADV amendments.
• Prepare and file other regulatory forms/reports, as applicable.
• Develops, initiates, maintains, and revises policies and procedures for the general operation of the Compliance Program and its related activities to prevent illegal, unethical, or improper conduct.
• Manages day-to-day operation of the Program.

Decision Making/Difficulty of Work

• Organizational and time management skills; ability to prioritize and manage multiple projects concurrently.
• Must be able to handle multiple tasks and prioritize appropriately.
• Must be collaborative and a proven team player

Minimum Requirements

• Strong knowledge of the financial services industry required.
• Ability to multi-task and change business focus at a moment's notice.

Competencies Required

Computer Skills:

• Proficiency in MS Office (Word, Excel, Outlook, PowerPoint), and all required internal programs and systems.

Interpersonal Skills:

• Ability to think "big picture" and "outside the box," while always giving attention to detail.
• Ability to multi-task
• Ability to work independently

Communication Skills:

• Strongcommunication (verbal and written) skills to support, interact, and communicate with a large number of Company colleagues, third-party consultants and regulators.
• Critical thinking skills necessary. Good independent follow-up skills.

Training and Education Required

Education/Knowledge:

• Must have a 4-year bachelor's degree
• 1-2 years compliance-related experience(preferred)
• General knowledge of fixed income markets (preferred).
• Understanding of the requirements of the Investment Advisers act of 1940 (preferred).

Compensation:

$70,000 - $82,000

Bonus eligible

Benefits:

Comprehensive Medical, Dental, and Vision coverage

FSA, Life Insurance, Long Term and Short Term Disability, Critical Illness, Accidental Injury Insurance

401(k) Employer Contribution

Commuter Benefits

18 Days Paid Time Off Annually + All Bank and Government Holidays

This position is located in Denver, Colorado. No relocation is offered for this position nor is sponsorship.