Compliance Business Analyst

Business Unit:
Compliance

Industry:
CORP - Corporate

Job Description
Houlihan Lokey is seeking a full-time Business Analyst to work with our Compliance Department team. Reporting to the Chief Compliance Officer (CCO), this hybrid position is in-office three days per week after six months of in-office training, holidays excluded, and working remotely two days a week. Responsibilities include working closely with the Chief Compliance Officer on a variety of projects within the Compliance Department concerning internal controls, project management, policy updates, employee training, audits and examinations, advertising oversight, filings, statistics and certifications, administrative tasks, and special projects.

Primary Responsibilities

1. Work with the CCO to enhance internal audit protocols and conduct periodic testing and monitoring of policies and supervisory controls, including scoping and scheduling testing activities, performing and documenting testing results, preparing reports, and recommending enhancements/remediation to CCO.
2. Assist CCO with enhancement and implementation of controls including system development, and coordinate system enhancements, upgrades, rollouts and integration with team members, IT and other departments to ensure the efficiency and effectiveness of each project.
3. Create, maintain, and deliver internal reports relating to internal compliance and process.
4. Ensure compliance with Customer Due Diligence/Beneficial Owner and Control Person requirements for business units, prepare weekly aging reports.
5. Conduct periodic internal testing and monitoring of regulatory components including private investments, outside business activities, personal trading surveillance, gifts, e-mail monitoring and restricted lists.
6. Work with the CCO and Marketing Department staff to perform periodic initial oversight reviews of approved materials.
7. Assist with periodic review and updates and implementation of policies/procedures impacted by regulatory changes.
8. Assist with internal/external audit requests and regulatory inquiries including the annual AML audit as necessary and regional office reviews.
9. Cross train with Compliance staff on routine responsibilities to assist as staff back-up when needed.
10. Maintain a competent knowledge of federal, SRO, and state regulations applicable to the Firm.
11. Additional tasks and special projects as requested/assigned.

Qualifications

1. Three to five years of relevant broker-dealer and/or investment banking compliance or regulatory experience.
2. In-depth understanding of applicable laws, regulations and guidance, particularly FINRA and SEC rules.
3. Strong interpersonal and supervisory skills including project management expertise, and the ability to work with all levels of personnel with a high degree of integrity and maturity.
4. Excellent verbal and written communication skills.
5. Maintain highly confidential information in an ethical, professional manner, and exhibit strong awareness and understanding of ethical principles.
6. Possess excellent organizational skills and the ability to work effectively under pressure.
7. Must be highly proficient in MS Office suite of products, specifically Excel and PowerPoint.
8. College degree required.
9. Appropriate financial industry licenses strongly preferred.

About Us
Houlihan Lokey, Inc. (NYSE:HLI) is a global investment bank with expertise in mergers and acquisitions, capital markets, financial restructuring, and financial and valuation advisory. Houlihan Lokey serves corporations, institutions, and governments worldwide with offices in the Americas, Europe, the Middle East, and the Asia-Pacific region. Independent advice and intellectual rigor are hallmarks of the firm’s commitment to client success across its advisory services. The firm is the No. 1 investment bank for global M&A transactions under $1 billion, the No. 1 M&A advisor for the past eight consecutive years in the U.S., the No. 1 global restructuring advisor for the past nine consecutive years, and the No. 1 global M&A fairness opinion advisor over the past 25 years, all based on number of transactions and according to data provided by Refinitiv.

Salary Range
Houlihan Lokey is committed to providing its employees with an exciting career opportunity and competitive total compensation package, which may include other components such as discretionary incentive compensation. The firm’s good faith and reasonable estimate of the possible salary range for this role at the time of posting is:

$80,000.00-$95,000.00

Actual salary at the time of hire may vary and may be above or below the range based on various factors, including, but not limited to, the candidate’s relevant qualifications, skills, and experience and the location where this position may be filled.

We are an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability, gender identity, sexual orientation, protected veteran status, or any other characteristic protected by law.

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