Portfolio Compliance Analyst

  • Location: New York, NY, New York
  • Type: Perm (Contingency)
  • Job #31403

Compensation: $100,000-$120,000 + bonus

Location: New York, NY

Global investment management firm is looking for an exceptional Portfolio Compliance Analyst to grow with the company. As a member of the Operations team, you will work closely with members of the Portfolio Accounting, Portfolio Implementation, Trading, and Trade settlement teams.

Highlights About the Company & Position:

  • Maintain standards of excellence by adhering to all firm, strategy, and client-directed guidelines and ensure trade compliance for both pre-trade and post-trade evaluations.
  • Ensure the highest level of quality control through a detail-oriented setup of portfolio compliance rules and review of all securities added to the database.
  • Support internal personnel with operational inquiries to achieve company standards of excellence.
  • Work as an engaged member of the Operations Department to fulfill the business goals and report all compliance matters directly to the Chief Compliance Officer.
  • Assist with monthly, quarterly, and annual client compliance attestations.
  • Review and interpret all account governing documents
  • Ensure accuracy and completeness of client portfolio guidelines in the Portfolio Management System as part of the setup and ongoing administration of accounts.
  • Create, test, and document new compliance rules in the Portfolio Management System.
  • Produce summary reports regarding portfolio compliance for the Head of Operations and the Chief Compliance Officer.
  • Construct and maintain pre- and post-trade controls designed to identify and prevent breaches of client and regulatory guidelines
  • Monitor daily pre-and post-trade compliance using electronically coded alerts to identify and escalate potential breaches.
  • Produce daily, weekly, and monthly trade surveillance and outlier reports.
  • Monitor for potential trade errors, portfolio pumping, and market irregularities.
  • Assist with monitoring and maintaining foreign ownership disclosure rules and filings.
  • Respond effectively to client inquiries, including class action reporting, using all internal resources available.
  • Review the setup of all securities added to or changed in the database while following internal procedures.
  • Create and maintain controls to streamline workflows and ensure compliance with all relevant operational policies and procedures.


  • College degree preferable in a related field.
  • 2 to 3+ years of Portfolio/Asset Management Compliance experience.
  • Interest in learning and executing our value investing strategy.

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.

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Job ID: 31403