Alternative Asset Manager

Compliance Analyst, Credit, New York, NY

Compliance Analyst, Credit (New York, NY): Our client, a global alternative asset manager with over $50B in AUM, is seeking an eager and motivated compliance professional to join their growing team in NYC.  This new hire will be reporting to the Chief Compliance Officer, handling all regulatory compliance matters that pertain to the firm’s credit side of the business. 


Key Points:

  • Opportunity to work amongst a bright, dedicated, and committed team who honor a collegial environment 
  • Organization is big on promoting from within and this role presents the opportunity to get involved in all areas within legal and compliance
  • Be part of a lean and highly visibleteam that will interact heavily with multiple internal groups 


  • Manage the firm’s compliance testing, monitoring and implementing policies and procedures; oversee and analyze investment activity and related compliance matters (trade errors, cross/principal transactions, allocations, best execution, and counterparty due diligence
  • Assist with issuer trading restriction/de-restriction processes, maintaining restricted trading lists; organize and prepare documentation compliance and regulatory committee meetings
  • Coordinate with third-party compliance consultants as it relates to their annual review with the firm’s advisors; draft compliance agendas, memos and minutes (other documents)
  • Work alongside the technology team to improve compliance reports and systems; assist with a variety of items covering the firm’s credit regulatedfunds as needed


  • 4-6 years of relevant experience within a similar capacity, preferably from another credit focused fund or alternative asset manager; bachelors degree with notable academic record
  • Prior experience with securities', loan trading compliance oversight and monitoring is a plus; experience with the Securities Exchange Act (1934), Rule 204A-1 under the Investment Advisers Act (1940) and Rule 17j-1 under the Investment Company Act (1940)
  • Superior communication skills with a self-starter attitude is a must; strong Microsoft Office, Adobe Acrobat and other computer skills is preferred
  • Excellent work ethic and professionalhabits; ability to work efficiently and effectively as part of a dynamic team

Job Reference #1579

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