Job Overview – Compliance & Operations Analyst (Investment Management):
Compensation: $90,000 – $100,000/year base ($100,000 – $125,000 All-In)
Location: New York, NY
Schedule: Monday to Friday (Hybrid)
Atlantic Group is hiring a Compliance & Operations Analyst (Investment Management) in New York, NY with our client, supporting compliance, fund operations, and regulatory reporting across ETFs, UCITS, and private funds. You will assist with compliance monitoring, fund launches, vendor oversight, and global filings while collaborating with cross-functional teams. This role is ideal for early-career professionals with compliance, paralegal, or fund operations experience seeking growth in investment management.
Responsibilities as the Compliance & Operations Analyst:
- Compliance Testing & Monitoring: Execute and document the firm’s compliance program, policies, and testing.
- Regulatory Filings: Prepare and track filings including Form ADV, Form PF, UCITS, and global registrations.
- Code of Ethics Oversight: Monitor personal trading, outside business activities, and investment approvals.
- Fund Lifecycle Support: Assist with fund launches, product events, and cross-listings for ETFs, UCITS, and private funds.
- Vendor Oversight: Support due diligence and oversight of sub-advisers, vendors, and service providers.
- Documentation & Reporting: Prepare compliance manuals, DDQs, registration documents, and disclosures.
Qualifications for the Compliance & Operations Analyst:
- Education: Bachelor’s degree in Finance, Accounting, Economics, or related field.
- Experience: 1-3 years in investment management, compliance, fund operations, or corporate paralegal work.
- Industry Knowledge: Familiarity with the Investment Advisers Act, Investment Company Act of 1940, UCITS, and global fund regulations preferred.
- Technical Skills: Strong Microsoft Excel skills with the ability to manage and analyze operational data.
- Skills & Attributes: Organized, detail-oriented, and proactive, with strong communication skills and a drive to learn in fast-paced environments.
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.