Job Overview – Investment Management Compliance Analyst (Hybrid)
Compensation: $100,000 – $115,000/year + bonus
Location: New York, NY
Schedule: Monday to Friday (Hybrid)
Atlantic Group is hiring an Investment Management Compliance Analyst in New York, NY for our client, supporting regulatory compliance within a registered investment adviser and asset management environment. This hybrid role partners with the CCO/GC to manage regulatory filings, oversee Code of Ethics administration and trade surveillance, and support compliance monitoring and reporting to ensure adherence to U.S. and international regulatory requirements.
Responsibilities as the Investment Management Compliance Analyst:
- Global Compliance Program Oversight: Support the CCO/GC in maintaining and enhancing the firm’s global compliance program across multiple jurisdictions.
- Regulatory Filings & Reporting: Prepare and track SEC, CFTC/NFA, FCA, and MAS filings while managing compliance calendar deliverables.
- Code of Ethics Administration: Oversee personal trading disclosures, gifts and entertainment reporting, outside business activities, and conflicts monitoring through the compliance platform.
- Trade Surveillance & Monitoring: Review employee trade alerts and maintain compliance logs to ensure adherence to firm policies and regulatory requirements.
- Due Diligence & Policy Enforcement: Support policy implementation, broker onboarding, KYC/AML reviews, and ongoing regulatory documentation and recordkeeping.
Qualifications for the Investment Management Compliance Analyst:
- Education: Bachelor’s degree in Finance, Accounting, Business, Legal Studies, or related field required.
- Experience: 1-3 years of investment management compliance experience at a hedge fund, private equity firm, asset management firm, or compliance consulting firm.
- Industry Knowledge: Strong understanding of the Investment Advisers Act, Code of Ethics administration, regulatory filings, and global compliance standards.
- Technical Skills: Experience with compliance monitoring platforms, trade surveillance systems, and Microsoft Office Suite required.
- Skills & Attributes: Analytical, detail-oriented professional with strong written and verbal communication skills, sound judgment, discretion, and the ability to manage multiple priorities in a dynamic investment management 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.