Compensation: $85,000-$110,000 + bonus
Location: New York, NY
A credit-oriented investment management firm overseeing approximately $32 billion in total assets, is seeking a Compliance Professional to join its team.
Highlights About the Company & Position:
- 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.
- Assist with oversight of Code of Ethics reporting via compliance monitoring software.
- Assist with NDA review process.
- 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). Assist with forensic testing for Compliance Annual Review.
- BS/BA degree is required.
- 2-4 years of work experience.
- Buy-side trading compliance examination experience a plus.
- 40-Act experience a plus.
- Great written and oral communication skills.
- Accuracy, attention to detail with ability to thrive in deadline-driven environment.
- Self-starter, with the ability to work independently.
- Proficiency in Excel, Word, and PowerPoint.
- Highest ethical standards, and ability to maintain discretion and confidentiality.
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.