Kennedy Capital Management

Kennedy Capital Management LLC (KCM) is a St. Louis-based boutique investment firm .  We're adding a Compliance Analyst to our team.  Because this position works in our St. Louis, MO office, we're seeking local candidates only. The Compliance Analyst contributes to the ongoing development of KCM's investment compliance and risk management program, providing day-to-day compliance function support. Essential Functions Conduct daily trade surveillance and investigate exceptions. Analyze client guidelines to implement and monitor investment restrictions. Create and maintain internal and client restricted security lists. Enforce and monitor the firm's Code of Ethics requirements, reporting and approval of personal trades. Create and administer routine and periodic employee attestations. Conduct trend analysis and assist in the development and updating of surveillance routines and the production of reports. Monitor and prepare regulatory...