Compliance Analyst

Position Summary    

SRS Acquiom is currently searching for a Compliance Analyst for our Contract Administration department.

The Compliance Analyst is responsible for reviewing and analyzing SRS Acquiom’s contractual obligations under the definitive agreements, as they apply to the distribution of transaction consideration and funds. The Compliance Analyst will be responsible for coordinating with various internal departments, as well as external parties, to complete these distributions.

The ideal candidate has great attention to detail, is a self-starter but also capable of working well in a team, can quickly comprehend key provisions of complex agreements, think outside the box to solve problems, manage multiple tasks simultaneously and has excellent communication skills.

Location: This role is fully remote within the Continental United States 

Compensation: The salary range for this position is $80K to $90K, depending on experience level.

Primary Responsibilities    

• Manage Client relationships and act as a single point of contact with Clients for the Shareholder Representative Services’ product post-closing.
• Oversee and monitor an ongoing portfolio of post-closing distribution releases which include the process and delivery of cash and/or shares to target holders.
• Perform in-depth review of various transactional agreements and legal contracts to determine the relevant legal information and complete thorough analysis to fully understand the post-closing contractual obligations.
• Identify opportunities for cross-selling additional SRS Acquiom services.
• Balance a large volume of email communication and pipeline. 
• Coordinate closely with internal teams to create accurate distribution waterfalls and ensure funds are released in a timely manner to the right parties.
• Review and/or draft transactional instructions and/or any legal compliance documentation required to move funds.
• Complete due diligence on post-closing M&A activities.
• Communicate effectively and in a timely manner with external parties (C-Suite Executives, former CEOs, CFOs, Venture Capitalists, Major Shareholders, and M&A attorneys) to enforce and/or execute release of escrow funds or holdbacks pursuant to transactional agreements, as well as to provide status updates regarding the release of funds. 
• Serve as the primary internal and external contact point for release inquiries and contract interpretation requests. 
• Facilitate timely problem resolution to mitigate risk and prioritize action.
• Accountable for the quality, accuracy, and timeliness of results.
• Ensure quality service is consistently delivered to Clients. 
• Display and provide expertise in Compliance release matters.
• Build and maintain strong client and inter-departmental relationships.
• Help execute special projects as needed.
• Deliver training as requested by Management.
• Identify trends that could impact the release process.
• Utilize critical thinking and strategies to provide viable solutions when issues arise.
• Identify and provide in-depth follow-through to ensure any issues are resolved.

 Required Qualifications & Skills  

• Bachelor’s degree, preferably in Finance, Economics, or Business, required
• 3-5 years’ experience within financial services
• Proficient in all Microsoft Office products
• Demonstrated ability to interpret contracts
• Excellent communication, both verbal and written, facilitation, and interpersonal skills, including the ability to face off across all levels of an organization, as well as external stakeholders
• Can work within deadlines and complete work in a timely manner
• Takes ownership of issues and follows through to resolution
• Can work independently or as part of a team, as the issue requires
• Strong attention to detail
• Strong analytical and organizational skills
• The ability to manage multiple time-sensitive tasks in a challenging, fast-paced, deadline-driven, and fluid environment
• Maintain a high level of confidentiality and integrity
• Flexibility to work over various time zones to accommodate Clients and Management, when needed

Desired Characteristics    

• Client excellence experience dealing with high-net-worth individuals preferred
• Exposure to legal agreements or contracts with internal or external parties
• Quick learner and adaptable to learn new processes, concepts, and skills
• Ability to take initiative in learning and applying new skills
• Highly motivated self-starter with the ability to work collaboratively and independently
• Operates with the highest integrity and attention to detail
• Ability to multitask, work in a demanding, fast-paced environment, and handle multiple competing priorities and projects with high-quality output
• Ability to generate solutions and appropriately escalate to management
• Knowledge of M&A transactions and/or M&A post-closing process

Physical Requirements/Special Demands   

• Must be available to work within Denver, Colorado, Mountain standard business hours
• Ability to work irregular hours, such as nights/weekends or after hours, may be required
• Work in fast fast-paced environment

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This job description is not designed to cover or contain a comprehensive listing of activities, duties, or responsibilities that are required of the employee. Duties, responsibilities, and activities may change, or new ones may be assigned at any time with or without advanced notice.   

With respect to its programs, services, activities, and employment practices, SRS Acquiom Inc. assesses qualified individuals without regard to their race, color, religion, sex (including pregnancy, sexual orientation, or gender identity), age, national origin, disability, veteran status, genetic information, or other protected status.  Requests for reasonable accommodation or the provision of auxiliary aids should be directed to Human Resources.