Compliance Analyst

New York, NY

Responsibilities

 

  • Assist with compliance monitoring program, including testing of investment guidelines, reviewing private side access reports, reviewing/documenting details of any crossing transactions, identifying and documenting any trade errors, and chaperoning/documenting expert network calls.
  • Review completed certifications/preclearance requests and update corresponding logs accordingly (e.g., OBAs, private investment requests, family conflict of interests)
  • Maintain and initiate broker feeds for personal transaction reporting
  • Review personal transaction alerts
  • Complete regular political contribution reviews
  • Conduct email review via Global Relay.
  • Assist with reviewing and negotiating NDAs.
  • Manage maintenance of restricted, private, and gray lists.
  • Assist with certain regulatory filings (e.g., Form 13H, BEA-185, TIC Form SLT, etc.).
  • Prepare materials for Committee meetings (e.g., Valuation, Conflicts of Interest).
  • Keep minutes for various compliance-led committees (e.g., Best Execution, Allocation, Valuation, Conflicts of Interest).
  • Manage firm’s AML/KYC program.
  • Monitor OFAC and other sanction lists.
  • Complete client compliance questionnaires, DDQ requests, and marketing review.
  • Conduct forensic testing for Compliance Annual Review.

 

Requirements

 

  • BS/BA degree is required. JD a plus.
  • 2-4 years of work experience.
  • Buy-side trading compliance examination experience a plus.
  • 40-Act experience a plus.
  • Proficiency in Excel, Word, and PowerPoint.

 

 

 

 

 

Note: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, we will keep your resume on file for future opportunities and may contact you for further discussion.

Date Posted 2/26/2021
Salary $80,000 - $95,000 + bonus






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