Sands Capital is seeking an experienced Compliance Officer (“Compliance Analyst”) generalist who will perform, analyze, execute, and facilitate multiple components of the day-to-day Compliance program activities, including Compliance monitoring activities and relevant data analytics, as well as other surveillance and recordkeeping implementation requirements.
The individual in the Compliance Analyst role will work in conjunction primarily with other members of the Legal and Compliance teams, and other staff members firm-wide, to mitigate risks to Sands Capital and to enhance Compliance program processes and related books and records requirements.
This role is expected to work from our Arlington, VA office on a hybrid schedule at a minimum of two days per week in office (specifically, Tuesdays and Wednesdays) or as directed, depending on team needs. Please know that the hybrid schedule is subject to change, as directed by our Executive Management Team, at any time.
• Reviewing and chaperoning expert network engagements, maintaining appropriate records, and conducting due diligence reviews;
• Organizing, maintaining, and enhancing the compliance program’s books and records, desktop procedures and other related logs and inventories;
• Assisting the Chief Compliance Officer and Director(s) of Compliance with reviewing and updating the Compliance Manual policies and procedures, Annual Compliance report, and other annual key deliverables;
Participating in the implementation and completion of strategic projects that enhance Sands Capital’s Compliance program;
• Preparing for and assisting with responding to regulatory inquiries, examinations, external audits, and other similar types of due diligence reviews;
• Reviewing and assisting with responding to client Compliance certifications, questionnaires, and other types of similar requests;
• Collaborating with relevant internal teams as it relates to the submission of major regulatory filings and related disclosures (i.e., Form ADV);
• Assisting with developing and providing Compliance specific-group trainings in coordination with the Chief Compliance Officer and Director(s) of Compliance for Sands Capital’s business;
• Preparing and/or evaluating certain Compliance metrics and data analytics with respect to the firm’s key controls and relevant compliance and operational processes;
• Providing strong hands-on support and execution with respect to all critical ad-hoc Compliance projects;
• Executing on other administrative or professional responsibilities, as needed; and
• Exhibiting behaviors consistent with Sands Capital’s mission, values, and culture.
Required Knowledge, Skills, and Abilities (KSAs):
• Undergraduate degree from an accredited university;
• 6-8 years of relevant Compliance experience at an investment management firm, or prior regulatory advisory consulting experience;
• Must be extremely organized, detail-oriented, and have a strong work ethic;
• Strong time management skills with the ability to work independently to produce deliverables on tight deadlines;
• Working knowledge of the Investment Adviser’s Act of 1940;
• Excellent verbal and written communication skills; and
• Working knowledge of Microsoft Office (specifically, Excel, Word, and PowerPoint)
Required Behavioral Characteristics:
• Exhibiting superior client service skills (to include internal clients);
• Exhibiting strong interpersonal skills;
• Demonstrating a strong work ethic in a fast-paced, professional environment;
• Operating with a high degree of initiative, self-discipline, and motivation;
• Working effectively both independently and as part of a team;
• Assuming the best of others; and
• Being motivated by a job well-done.
Values for Success at Sands Capital:
• Focus: Identify and concentrate on “what matters”
• Long-Term Perspective: Appreciate that time allows sound decisions to demonstrate their worth. Avoid short-term thinking
• Independent Thinking: Have the courage to develop and articulate your own convictions. Debate others openly and honestly
• Teamwork: Collaborate to gather facts, develop perspective, build conviction, and support timely decision-making
•Positive “Can-Do” Attitude: Demonstrate a willingness to tackle any task
• Graciousness: Reflect kindness and courtesy at all times
• Balance: Enjoy your work while balancing professional activities with interests beyond the firm
• Meritocracy: Know that talent and achievement will drive your success at Sands Capital
How to Apply:
To be considered, candidates must submit a resume that specifically outlines your qualifications for the position. If you wish to apply for this position, please do so via Sands Capital Management’s Careers page at http://sandscapital.com/careers/.
We offer competitive salaries and generous benefits.