Structured Credit, Investment Firm

Compliance & Counter-party Relationship Analyst, New York, NY

Compliance & Counter-party Relationship 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 bright and motivated compliance professional 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 growingrapidly (they are currently at their peak AUM) 


  • Manage and review all areas as it relates to the firm’s personal trading policy (review trading information, certifications and investigate potential exceptions); handle all AML/KYC requests from service providers and trading counter-parties
  • Manage ongoing testing of compliance policies and procedures; participate with ongoing compliance-related investor deliverables
  • Assist with regulatory filings (e.g., Form ADV, Form D and Blue Sky Filings); provide support in compliance monitoring and testing
  • Provide key support with other ad hoc compliance-related projects as needed, manage the firm’s compliance calendar


  • 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 as well as working experience with KYC/AML; possess excellent communication skills
  • Proven organizational and time-management skills with the ability handle multiple projects in a face-paced work environment
  • Self-starter with the ability to work independently as well as collaboratively; willingness to learn with an intellectual curiosity to expand industry knowledge

Job Reference #1523

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