Asset Manager

Compliance Analyst, New York, NY

Compliance Analyst (New York, NY): Our client, a successful asset manager with over $15B in AUM, is seeking a compliance analyst to join their lean and efficient team.  This is an exceptional opportunity for a junior compliance professional to work under the guidance of two tremendous individuals and gain exposure to the full compliance program. 


Key Points: 

·       New hire will be trained up and then given autonomy to oversee the firm’s Code of Ethics program

·       Individual will have the ability to touch on all aspects of compliance

·       Founder is extremely involved in all aspects of the firm

·       Firm manages north of $15 billion in AUM with a large Europe-based presence, in both offices and investors


·       Maintain all required Code of Ethics records such as, potential conflicts of interests, personal trading, gifts and entertainment, outside business activities and political and charitable contributions; assist with on-boarding/off-boarding of employees and clients

·       Oversee the firm’s code of ethics; train new hires on all aspects of the firm’s Code of Ethics

·       Monitor the investment team’s deal site activity while maintaining the restricted list; assist with monitoring compliance policies and procedures and controls

·       Screen OFAC and AML due diligence; conduct weekly trade allocation reviews


·       1-3 years of relevant experience with a proactive mindset and high personal integrity; strong working knowledge of Microsoft Excel

·       Working knowledge of Bloomberg is a plus; excellent organizational and analytical skills

·       Must be a self-starter, a team-player with a strong work ethic and able to thrive in a dynamic, fast paced environment

·       presentation and communication skills; technologically savvy is a huge plus

Job Reference #1359

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