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Compliance Analyst

Pickering Energy Partners

Position Description

PEP is looking for a Compliance Analyst to support its energy financial services platform in Houston, TX. The Compliance Analyst role calls for a detailed and knowledgeable individual to ensure regulatory compliance across all departments of the organization and work directly with PEP’s Chief Compliance Officer. This includes investment management, consulting, research, capital markets, and investment banking services.

Primary Responsibilities

  • Assist with broker-dealer compliance program functions including implementation of written supervisory procedures, policies, training, annual testing, transaction monitoring, AML compliance
  • Manage the Firms' FINRA Gateway filings (i.e., Forms BR, BD, U4s, U5, etc.), coordinate efforts related to broker-dealer audits, inspections, reviews, and examinations, monitoring complaints and reporting as necessary
  • Assist with the Firm's AML compliance program, as outlined in FINRA Rule 3310, including reviewing subscriptions, redemptions; maintenance of AML policies; conducting AML annual training; managing annual independent audit of AML program; reviewing alerts generated by screening system; filing AML reports as needed such as suspicious activity reports; monthly suppression of terrorism reports, and FinCEN 314(a)
  • Lead efforts around employee personal trading compliance
  • Be involved in Code of Ethics procedures, and program management
  • Work with various team and departments including Legal, Onboarding, Business Development, Relationship Management Support, and HR to identify and address regulatory risks
  • Collaborate across enterprise-wide compliance and risk program
  • Communicate compliance issues and trends and provide routine compliance reports to management
  • Maintenance and implementation of the firm’s policies and procedures and recommend revisions in response to regulatory changes
  • Carry out and enforce the firm’s supervisory procedures to include overseeing email surveillance, review of engagement letters, subscription agreements, licensing, and registration
  • Assist in document production and responses to regulatory inquiries and audits
  • Perform and oversee initial and ongoing due diligence of M&A securities engagements
  • Conduct suitability reviews of prospective institutional/accredited investors
  • Work with the IT team to identify operational and technical solutions to enhance the firm’s compliance efficiencies and leverage technology
  • Review and approve marketing materials (confidential information memorandum, pitch decks) for institutional use
  • Respond to general compliance inquiries from the internal staff and the firm’s registered representatives
  • Identify, investigate, and escalate potential sales practice misconduct, and recommend appropriate disciplinary action

Specific Qualifications

  • 2- 5 years of FINRA and/or SEC regulatory compliance experience
  • Experience with FINRA and/or SEC regulatory exams and inquiries
  • Bachelor’s degree required

Additional Information

  • PEP offers a competitive salary and bonus opportunity. Excellent benefits package.
  • To be considered, qualified candidates should send their resumes and salary history to Resumes@PickeringEnergyPartners.com and reference “Compliance Analyst” in the subject.