COMPLIANCE ANALYST

Reviews activities occurring within the Transfer Agency ("TA") for compliance with regulations. Assists Compliance management in ensuring TA policies and procedures comply with Securities and Exchange Commission, Internal Revenue Service, and other federal and state regulatory agency requirements, including those of self-regulatory organizations' rules and guidelines. Directs and documents communications within the transfer agency to ensure regulatory changes are communicated timely and appropriately.

Key Responsibilities

• Reviews potential fraud and financial crime activity in the transfer agency and directs the service provider on risk mitigation, incident research, and problem resolution.
• Researches and documents service provider incidents and shareholder complaints.
• Assists in completing prompt and accurate TA regulatory filings, as well as updates to policies as a result of changes in regulations governing the transfer agency.
• Administers various aspects of Amundi US's compliance with Bank Secrecy Act, AML Program requirements, and Identity Theft Prevention Programs.
• Liaise with external vendors, such as transfer agents, dealer back offices, and financial representatives on dealer and shareholders matters, both as a collaborator and counselor on compliance matters, whilst also representing Amundi US's interests.
• Monitors daily output reports to ensure ongoing compliance with policies and timely resolution of exceptions.
• Liaise with internal operations and service providers to ensure TA activities and delegated functions, such as AML compliance, IRS tax filings, and fund regulatory mailings adhere to aforementioned regulatory requirements.
• Monitor systems and activities to detect and prevent fraud attempts, cyber threats, AML, and anti-theft activities.
• Participates in the creation and ongoing maintenance of team procedure documents according to new regulations, business processes and system migration changes.
• Keeps abreast of industry best practices as it relates to transfer agency services. This is accomplished by attending workshops and industry conferences, as required.
• Participate in service provider oversight to ensure compliance with relevant regulations and outsourced functions.
• Participate in periodic audit reviews of the department; liaise with internal and external auditors as necessary.
• Cross train on a variety of divisional activities designed to support the oversight and operations units of the Investor Services Division. These activities may pertain to systems support, intermediary community support, compliance oversight support, or projects and job activities pertaining to shareholder operations. Cross training exercises are designed to create a fully utilized team, by identifying and job shadowing key-man activities in an effort to ensure business continuity and reduce risk.
• Assumes additional responsibilities as requested.

Amundi US, Inc. offers employees a hybrid work environment and requires all employees to be fully vaccinated when working in a company office, except where prohibited by state or local law.

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Experience Required

• 1 year(s): Minimum of 2 years financial services experience or equivalent

Preferred

• Knowledge of SEC and FinRA rules pertaining to investor protection requirements; general knowledge of 1934 and 1940 act regulations
• Strong computer skills, particularly word-processing database and spreadsheet analysis, are essential. Strong working knowledge of BNY Mellon transfer agent system (FSR) preferred
• Minimum of 1 year's previous regulatory compliance experience in the securities industry either at an investment management company, transfer agent, or third party financial service provider
• Previous experience in Broker-Dealer oversight, Anti Money Laundering compliance, fraud prevention, Know Your Customer, Blue Sky compliance, and / or pattern monitoring

Education Preferred

• Bachelors or better

Skills Preferred

• Self-Motivated
• Teamwork
• Project Management Skils
• Microsoft Office
• Attention to Detail
• Problem Solving Skills
• Analytical Skills
• Organizational Skills
• Communication