Compliance Analyst, Finance & Banking

General Description

The Wyoming State Treasurer’s Office seeks a detail‑oriented Compliance Analyst to support adherence to all applicable Wyoming statutes, executive orders, and administrative rules, with a special emphasis on compliance and proxy voting obligations. The role plays a vital part in upholding our legal, ethical, and procedural standards.

• Facilitate adoption and customization of the State Treasurer’s Office’s third‑party compliance system.
• Assist in the development, distribution, and maintenance of compliance documentation, including disclosure documents, gift logs, pre‑trade clearance requests, travel and entertainment logs, and manager attestations.
• Develop and maintain compliance training materials, schedule staff training, and document training attendance and feedback.
• Monitor both pre‑trade (Bloomberg) and post‑trade (JP Morgan) compliance reporting.
• Research and accelerate pre‑trade and post‑trade compliance notifications.
• Inventory, review, edit, and create rules in Bloomberg and request rule changes in the JPMorgan system.
• Generate various compliance and proxy voting reports and maintain them as required.
• Maintain lists of all accounts in compliance and proxy voting systems, ensuring that all relevant accounts are live and active.
• Monitor proxy voting reports to ensure all ballots are received and votes are scheduled according to policy.
• Perform miscellaneous tasks as assigned.

• Preference will be given to candidates with an understanding of financial markets and strong written and oral communication skills.
• Ability to read, understand, and explain legal and compliance documents with excellent organizational and attention‑to‑detail skills.
• Preference for those with a bachelor’s degree in finance or economics and experience in investments, investment accounting, or financial audit.

• Knowledge of financial and investment markets.
• Knowledge of financial research and reporting methods and tools.
• Knowledge of federal, state, and local laws and regulations.
• Knowledge of data management using a variety of reporting and database systems.
• Proficiency in Excel, Word, and PowerPoint.

Minimum Qualifications:

Bachelor’s degree (typically in Finance).

Experience:

0–3 years of progressive work experience (typically in Statistics) or 4–6 years of alternative progressive experience.

• General office conditions, with minimal lifting.
• Some travel required.

The State of Wyoming is an Equal Opportunity Employer and actively supports the ADA and reasonably accommodates qualified applicants with disabilities.