Junior Compliance Analyst

Essential Duties and Responsibilities:

Includes the following, other duties may be assigned as needed:

• Administer the Code of Ethics program in MyComplianceOffice (MCO), including setting up new employees, maintaining employee and brokerage account records, tracking employees on leave, and closing out departing employees.
• Review employee personal trading against pre-clearance approvals and research MCO alerts (for example, trades without pre-clearance, trades above the pre-cleared quantity, or trades outside the approval window). Follow up with employees and escalate potential violations to the Chief Compliance Officer or designee.
• Handle pre-clearance requests that need manual review, including coordinating portfolio manager approval of digital asset trades above the de minimis amount.
• Respond to employee questions received in the Code of Ethics inquiries mailbox about personal trading, reportable accounts and Code of Ethics requirements.
• Set up and maintain electronic brokerage data feeds with brokers and the MCO vendor, reconcile unmatched accounts, and obtain account statements or discretionary account agreements as needed.
• Administer new hire, quarterly and annual Code of Ethics certifications and holdings reports, including launch, reminders, follow-up and review of disclosures.
• Conduct new hire compliance orientation and track completion of required compliance training.
• Review outside business activities, political contributions and other employee disclosures, and escalate potential conflicts of interest to the Chief Compliance Officer or designee.
• Prepare periodic personal trading reminders and other Code of Ethics communications to employees.
• Maintain Code of Ethics records to support compliance testing, regulatory examinations and reporting to management.
• Assist with ongoing testing of Code of Ethics and other adviser and fund compliance policies and procedures.
• Keep current on industry developments that affect Adviser, Funds, and Broker-Dealer compliance.
• Help maintain compliance policies and procedures, including Code of Ethics procedures and employee reference guides.
• Ad-hoc compliance projects, including assisting with implementation of new rules.
• Complete other regulatory compliance tasks assigned by management.

Supervisory Responsibilities

This job has no supervisory responsibilities but may assist in overseeing others’ work.

Qualifications

• BA/BS degree or equivalent required
• One to three years’ experience. Some investment adviser compliance, personal trading or Code of Ethics experience preferred but not necessary
• Experience with a personal trading compliance system such as MCO is a plus
• Committed to maintaining the highest ethical standards
• Ability to handle confidential employee financial information with discretion
• Strong verbal and written communication skills
• Ability to interact effectively with all levels of staff
• Roll up your sleeves work ethic
• Ability to work effectively in a remote environment
• Strong organizational skills and attention to detail, with the ability to manage a high volume of time-sensitive requests

Knowledge, Skills & Abilities Required

The ideal candidate will be an intelligent, energetic and goal-oriented, conceptual thinker with the ability to quickly assess a situation and exercise sound business judgment and will possess the following attributes:

• Excellent oral and written communication skills are required.
• Independent, self-starter with a positive, can-do attitude and the ability to follow through and complete tasks in a team environment.
• Ability to work individually and with other team members under pressure and prioritize competing tasks that require the highest level of attention to detail and accuracy.
• We are seeking a team player who is well-organized and highly efficient, possessing excellent verbal and written communications skills and the ability to interact and communicate effectively with management level personnel and regulatory agencies.
• Demonstrate a cooperative attitude and consensus building skills.
• Strong project and time management skills.
• Exceptional communication and relationship building skills. The role must be an advisor and partner to the business who helps the business understand the regulatory requirements and finds solutions where possible.
• Ability to analyze and assess the current state, identify gaps, and develop plans for continuous improvement.
• An interest in the financial services industry and understanding of the laws and regulations that govern its activities.
• Proficiency with Microsoft Office tools, particularly Excel.

VanEck is committed to treating all applicants and employees fairly and to providing equal opportunity in compliance with applicable federal, state and local laws. VanEck does not and will not discriminate against any employee or applicant for employment on the basis of race, religion, ancestry, color, gender, gender identity, pregnancy, age, physical or mental disability, national origin, marital status, sexual orientation, citizenship status, covered-veteran or military status, genetic information, and/or any other factor protected by law.