Job Overview – Investment Guideline Compliance Analyst:
Compensation: $80,000 – $90,000/year + bonus
Location: New York, NY
Schedule: Monday to Friday (Hybrid)
Atlantic Group is hiring an Investment Guideline Compliance Analyst in New York, NY for our client, supporting pre- and post-trade monitoring, guideline coding, regulatory reporting, and compliance oversight. This hybrid role partners with portfolio managers, trading, legal, and operations teams and uses CRIMS, Bloomberg, and Excel to ensure guideline adherence. Ideal candidates bring early-career compliance experience with strong analytical skills and exposure to rule coding or trade monitoring.
Responsibilities as the Investment Guideline Compliance Analyst:
- Pre- & Post-Trade Monitoring: Conduct daily investment guideline surveillance, review alerts and exceptions, and ensure orders adhere to client and fund mandate requirements.
- Rule Coding & System Management: Code and maintain investment guidelines in Charles River (CRIMS), test updates, and partner with technology and operations on system enhancements.
- Trade Workflow & Issue Resolution: Collaborate with trading and operations teams to resolve alerts, support order processing, address ad-hoc trade questions, and escalate post-trade breaches with recommended corrective action.
- Restricted Lists, Cross Trades & Reporting: Review cross-trade requests, maintain restricted lists, and deliver periodic compliance reporting to internal teams and clients.
- Compliance Testing & Projects: Participate in forensic testing, annual reviews, mock SEC exams, chaperone expert network calls, and contribute to special projects that strengthen compliance processes.
Qualifications for the Investment Guideline Compliance Analyst:
- Education: Bachelor’s degree in Finance, Economics, Math, Business, or a related analytical field required.
- Experience: 1-2 years of investment guideline or compliance experience in asset management, hedge funds, trading, or broker-dealer environments with exposure to rule coding or trade monitoring.
- Technical Skills: Proficiency in Excel and Bloomberg with experience using Charles River (CRIMS) or similar investment compliance systems preferred.
- Industry Knowledge: Understanding of investment guideline frameworks, pre-/post-trade compliance, restricted lists, cross-trades, and SEC-related compliance workflows.
- Skills & Attributes: Highly organized, detail-oriented self-starter with strong analytical and communication skills who thrives in a fast-paced environment.
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.