Job Overview – Compliance Analyst:
Join our client’s Legal and Compliance Department as a Compliance Analyst and play a crucial role in coordinating, overseeing, and handling all legal, regulatory, and compliance issues globally. This full-time position involves analyzing legal and regulatory changes, designing new policies and procedures, and leading regulatory change management processes in collaboration with operations and investment teams.
Location: New York, NY
Total Compensation: $350,000 – $400,000/year (All In)
Schedule: Monday to Friday
Responsibilities as the Compliance Analyst:
- Regulatory Analysis and Policy Design: Analyze legal and regulatory changes, design new policies and procedures to mitigate risks, and lead the regulatory change management process in partnership with operations and investment teams.
- Compliance Administration: Assist with administering the Firm’s compliance policies, focusing on personal trading, insider trading, pay-to-play, gifts and entertainment, and political contributions.
- Regulatory Compliance Advisory: Advise the investment team on regulatory compliance matters, including conflicts of interest, investment allocation, information sharing (public and private), and fund governance.
- Regulatory Filings: Prepare and supervise a variety of regulatory filings with the SEC and other international regulatory bodies, in collaboration with operations and finance teams.
- Trade Surveillance Program: Enhance and maintain an effective trade surveillance program to ensure compliance with relevant legal and regulatory requirements and internal allocation policies and procedures.
- Compliance Training: Coordinate compliance training initiatives and materials for employees globally.
- Compliance Testing and Reviews: Responsible for periodic compliance testing and reviews to ensure policies and procedures are working effectively.
Qualifications for the Compliance Analyst:
- Education: Bachelor’s degree required. Postgraduate degree (JD or MBA) is a plus but not required.
- Experience: 7+ years of Investment Advisor compliance experience, with a preference for hedge fund experience.
- Knowledge: Solid knowledge of relevant SEC regulatory requirements related to the Investment Advisers Act of 1940, the Securities Act of 1933, and the Securities Exchange Act of 1934, including the rules and regulations thereunder.
Application Notice: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, Atlantic Group will keep your resume on file for future opportunities and may contact you for further discussion.