Investment Advisor

Compliance Analyst, New York, NY

Compliance Analyst (New York, NY): Our client, a leading investment firm with over $20B in AUM specializing in the credit markets, is seeking an eager and motivated compliance professional to join their growing team.  This person will be reporting to the Chief Compliance Officer and Counsel.


Key Points: 

  • Position reports into someone that our team knows well - extremely bright and a tremendous mentor
  • Firm hirestop talent with great attitudes so this new hire will be surrounded by intelligent, humble, and resourceful coworkers


  • Advise Portfolio Managers and Traders on compliance with the Securities Act, Securities Exchange Act, Advisers Act and other applicable regulation and client mandates; assist in the compliance monitoring and testing program
  • Assist in on-boarding new hires and maintain training logs; review firm marketing and advertising materials for compliance with the Advisers Act and other applicable regulatory requirements
  • Review client and account documentation for anti-money laundering compliance; assist the Compliance Director with regulatory filings such as Form ADV 1, 2a, 2b and Form PF
  • Assist with implementing new compliance procedures, while developing policies and systems for firm-wide administration of compliance issues  


  • The ideal candidate will have 1-4 years of direct compliance experience from either a direct hedge fund or compliance consulting firm; a substantial educational background with an undergraduate degree
  • Ability to exercise risk-appropriate judgement; must be confident and comfortable speaking with various upper members in upper management
  • Strong coretechnology and quantitative skills (Excel, PowerPoint, Word, Outlook    

Job Reference #1386

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