Asset Manager

Compliance Analyst, New York, NY

Compliance Analyst (Connecticut): Our client, a $8B+ asset manager with a tremendous reputation, is looking to expand their compliance team with a bright, motivated, and hungry compliance professional.  This hire will report directly to the CCO and work closely with one other compliance team member to support the maintenance and development of the firm’s compliance program.  The position heavily interacts with various business units so the team needs a dynamic and well-spoken individual who can interact across the Legal, Risk, Trading Desk, Accounting, Middle Office, Operations and Investor Relations teams.  


Key Points:

  • CCO is an excellent mentor and colleague – very easy going, intelligent, motivated to engage his hires
  • Individual will gain tremendous exposure to various investment products and strategies as well as gain invaluable technical skills
  • Organization iskeen on the professional development of their employees, allowing for internal transfers over time


  • Develop reports and perform compliance testing across firm policies
  • Assist with trade-time legal and tax reviews of trades in structured credit and bank loans
  • Review new regulatory policies and determine whether to design tests to monitor compliance with new investment restrictions
  • Support the documentation of the annual assessment of the compliance program
  • Review and log periodic exception reportsand diagnostics


  • The candidate should have 1-3 years of compliance work at a fund, bank, consulting firm, or asset manager or paralegal work at a law firm within the investment management practice
  • Proficiency with Excel and a GPA over 3.4 is required
  • Superior attention to detail and an ability to follow through on and manage fact and data-intensive projects is also necessary
  • The firm is very metric and data driven so this position has a heavier hand in data manipulation and quantitative work than a typical compliance role – the candidate of choice will possess strong analytical and technical skills
  • The firm is commutable from the city viaMetroNorth and about 40% of the staff commute from Manhattan

Job Reference #1514

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