Asset Manager

Compliance Analyst/Associate - Trade, New York, NY

Compliance Analyst/Associate – Trade (New York, NY): Our client, an Alternative Asset Manager with over $20b in assets under management is adding to their compliance team and seeking an Analyst/Associate to join the growing team. 


Key Points: 

·       Firm is growing rapidly and offers a lot of stability 

·       This position is open due to an internal promotion  

·       They offer great benefits with a strong quality of life (9am to 5:30pm or 6pm most days) 

·       Position will have the ability to gain exposure to all areas of compliance and take on project work over time 


·       Build a skill-set in the firm’s strategies; monitor investment pipeline and address potential compliance issues

·       Monitor long and short positions for purposes of US and international regulatory filings; conduct daily trade surveillance and conduct compliance with investment guidelines, allocation of investments among accounts and aberrational performance

·       Assist in documenting cross trades and implementing surveillance program for 1940 Act vehicles; prepare compliance reports to support quarterly compliance certifications

·       Review and analyze forensic testing results from third party consultants


·       2+ years of relevant experience in a compliance capacity or related function; working knowledge of regulatory requirements in financial services

·       Ability to prioritize workload with multiple responsibilities within a team and independently; familiarity with automated daily pre-trade compliance systems (Bloomberg, Charles River, Latent Zero) is a plus

·       Excellent verbal and written communication skills as this role will have high visibility across internal and external personnel

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