Corporate and Structured Credit Investment Firm

Legal & Compliance Analyst, New York, NY

Legal & Compliance Analyst (New York, NY): Our client, a corporate and structured credit investment firm with north of $17 billion in AUM, is looking to hire a Legal & Compliance Analyst to join their team. This individual will report directly to the General Counsel/Chief Compliance Officer. 

Key Points:

·       Opportunity to work in a collaborative environment 

·       Exposure to all areas of the compliance program 

·       Deputy CCO is a great mentor and will spend the time to train and teach this person 

·       Firm is growing rapidly (they are currently at their peak AUM) 


·       Perform compliance functions in connection with the monitoring of the firm’s restricted list, personal trading, gifts and entertainment, political contributions; handle AML/KYC and onboarding requests from counterparties

·       Manage ongoing testing of compliance policies and procedures; organize and maintain adequate documentation and logs

·       Assist with regulatory filings (e.g., Form ADV, Form D and Blue Sky Filings); participate in the annual review of all policies and procedures

·       Provide key support with other ad hoc compliance-related projects as needed


·       2-3 years of compliance experience; must have a substantial educational background with an undergraduate degree

·       Knowledge of the Advisers Act and the requirements of a compliance program under the Advisers Act; possess excellent communication skills

·       Proven organizational and time-management skills with the ability handle multiple projects in a face-paced work environment

·       This is a great opportunity for someone who is hardworking with a friendly and collaborative personality    

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