Job Overview – Compliance Analyst (Investment Management)
Compensation: $100,000 – $110,000/year + bonus
Location: New York, NY
Schedule: Monday to Friday (In-Office)
Atlantic Group is hiring a Compliance Analyst (Investment Management) in New York, NY for our client, supporting regulatory compliance and monitoring activities within a global asset management environment. This role focuses on executing compliance reviews, supporting regulatory filings, and partnering with internal stakeholders to ensure adherence to policies and regulatory requirements. The position offers direct exposure to senior leadership and a collaborative, high-performing legal and compliance team.
Responsibilities as the Compliance Analyst (Investment Management):
- Compliance Reviews: Conduct policy and procedure reviews in line with regulatory requirements.
- Regulatory Filings: Prepare and support filings including ADV, 13F, and PF.
- Monitoring & Testing: Review marketing, personal trading, and investment activities for compliance.
- Employee Trading Oversight: Monitor personal securities transactions and enforce policies.
- Reporting: Assist with compliance reporting and board materials.
- Ad Hoc Support: Respond to compliance inquiries and support business initiatives.
Qualifications for the Compliance Analyst (Investment Management):
- Education: Bachelor’s degree or equivalent is required.
- Experience: 1–3 years of compliance experience within investment advisory, hedge fund, private equity, or asset management environments is required.
- Industry Knowledge: Familiarity with investment adviser regulations and compliance frameworks is required.
- Technical Skills: Experience with regulatory filings and compliance monitoring tools is preferred.
- Skills & Attributes: Strong analytical, organizational, and interpersonal skills with a high level of self-motivation and attention to detail are required.
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.