Analyst, Compliance

Garda is looking to hire a Compliance Analyst to join our Wayzata, Minnesota office. This position is not available for remote/hybrid work arrangements.

Key Responsibilities: 

• Maintain and monitor employee reporting regarding code of ethics, personal account trading and holdings, gifts and entertainment, social media use, and other applicable policies maintained in accordance with SEC, CFTC or applicable foreign regulatory requirements.
• Lead compliance onboarding process for new hires and preparation of compliance training presentations.
• Support Compliance team in the analysis, preparation and submission of regulatory and compliance filing requirements, as well as with oversight of fund activity to detect potential compliance issues.
• Assist with data analysis and compiling information for various regulatory filings (e.g., Form ADV, Form PF/PQR, EU Short Selling, MiFID II)
• Professionally communicate with internal stakeholders to define, develop, streamline and monitor reporting processes.
• Support management and due diligence of third party vendor relationships related to regulatory and compliance filings.
• Assist with regulatory examinations, inquiries, and other data requests.
• Other projects as necessary (e.g., investor due diligence questionnaires, implementation of new compliance systems, marketing presentations, and investor reporting).

Preferred Qualifications:

• A minimum of 2 years of work experience in a compliance function within an SEC, FINRA, CFTC-regulated firm, bank, or relevant related experience with a consulting firm (experience on trading desk may be considered in lieu of compliance experience)
• Experience with compliance monitoring and reporting systems (e.g. ComplySci, Global Relay, etc.)
• Strong business writing ability
• Four-year college degree; accounting or finance emphasis
• Proficiency in Excel, Word, and OneNote