Investment Management Firm

Compliance Associate/Analyst, New York, NY

Compliance Associate/Analyst – title TBD (New York, NY):  Our client, a prestigious global investment management company, with a focus on debt and credit with over $25 billion under management is seeking a Compliance Analyst or Associate to join their team.  This is an excellent opportunity to join a growing firm, with an established program already in place.  The Associate will have exposure to all levels of management and be exposed to all facets of the compliance program.  


Key Points:

  • Will be part of an established team and will offer exposure to all levels of management
  • This person will have the ability to interact with different business units and groups
  • Firm is big on promoting from within and offering cross training and movement across departments
  • Opportunity to work for one of the most prestigious asset managers in the world


  • Monitor investment guidelines and restrictions; code and revise the investment guidelines while resolving pre-trade compliance exceptions 
  • Perform email monitoring and trade surveillance; maintain and test policies and procedures
  • Assist with regulatory filings and reporting; review and approve broker-dealer’s counterparties
  • Maintain restricted watch list and monitor expert networks/research calls; conduct testing and review of allocations


  • 2-5 years of compliance experience from another hedge fund, private equity fund, investment adviser, compliance consulting firm or regulatory body
  • Knowledge of the Investment Advisors Act of 1940; familiarity with day-to-day compliance affairs or private funds
  • Strong communication skills with the ability to foster relationships across the firm; must be a team player with a positive “can-do” attitude

Job Reference #1426

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