Compliance Analyst

Company Overview:Paralel Technologies is a growing FinTech firm redefining the relationship between asset managers and their back office. We are the premier trusted partner for asset managers and their funds, innovating with technology and serving with compassion. The firm has a registered investment adviser and offers outsourced Chief Compliance Officer services for registered funds as well as full-service fund administration, fund accounting, transfer agency and distribution services from its Denver, Colorado headquarters.Role Overview:Paralel is looking for a Compliance Analyst to work closely with other team members to perform compliance oversight activities. This position is a hands-on role involved and overseeing all aspects of compliance activities that include everything from day-to-day compliance monitoring, service provider and investment advisory due diligence, to assisting the Fund CCO with reporting to assigned Boards.This individual will also work with other Paralel team members to stay abreast of changes to laws and regulations affecting the funds in the U.S.; coordinate with the Fund/Adviser CCOs to ensure adherence to laws and regulations; oversee the revision, preparation, and dissemination of new and updated compliance policies and procedures; and prepare compliance reports as warranted.Job Responsibilities: (may include and are not limited to)Conduct daily portfolio compliance monitoring for registered investment company adherence to Prospectus, Statement of Additional Information (SAI), and other SEC rules and regulations.Conduct testing and monitoring under Rule 38a-1 of the Investment Company Act and Fund compliance programs utilizing workflow and other business intelligence and reporting tools.Provide assistance in the administration of the firm's Code of Ethics and corresponding monitoring.Ongoing compliance oversight of investment advisers, sub-advisers, and service provider relationships to the funds we support as Fund CCO.Identification and monitoring of new or emerging compliance issues and working with others to implement solutions that address these new requirements.Preparation of compliance board materials, due diligence materials, questionnaires, presentations etc.Potential for occasional travel in order to conduct on site due diligence visits of the advisers, sub-advisers and service providers described above.Skills and QualificationsBachelor's degreeTwo or more years of experience working in the investment management industry (knowledge of or experience working with the Investment Company Act of 1940, Investment Advisers Act of 1940 strongly preferred).Familiarity with (or willingness to learn) portfolio compliance monitoring software such as Confluence, Sentinel, Charles River, Bloomberg, Blackrock Aladdin.Excellent attention to detail and ability to multi-task.Ability to work in a team environment and take ownership on individual projects with little supervision.Compensation Range:$58,000 - $75,000The actual salary offer to the successful candidate will be based on job-related education, training, industry experience, certifications, and other factors.Other Compensation:Performance bonus eligibleWhat We Offer:A comprehensive benefits package, including:Employer paid medical options, plus dental and vision coverageDisability, AD&D and life insuranceFlexible spending accounts (FSA); Health savings account (HSA) for high deductible medical plan401(k) matchUnlimited PTO, plus 10 paid holidays and generous leave policiesTuition Reimbursement for continued educationAn energetic team-based culture focused on our values of service to others and to our communityOn-site gym and yoga studioWork life flexibilityParalel Technologies LLC is an equal opportunity employer.All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or veteran status.

Created: 2025-02-25