Compliance Analyst

New York, NY

Job Reference #1809

Our client, an established hedge fund with $13B in AUM, is looking to bring on an experienced and motivated Compliance professional to join their team. The candidate of choice will report to the Deputy CCO.

Key Points

  • Firm is growing rapidly and is up on the year
  • Person will gain exposure to all areas of the compliance program
  • The firm employs four dedicated compliance professionals
  • This person will have the opportunity to take on as much as they can – no shortage of work and exposure
  • Firm has created a unique culture that is casual and always puts the employees first

Responsibilities

  • Trade surveillance (MNPI/Allocations/etc.) reviews and email surveillance
  • Proxy voting
  • Managing aspects of the annual compliance review
  • Personal trade monitoring
  • Compliance training presentations
  • Affirmation monitoring
  • Conflicts monitoring
  • Expense allocation reviews
  • Ongoing vendor/employee due diligence
  • Compiling and submitting regulatory filings
  • Expert network monitoring

Qualifications

  • 1+ year paralegal or compliance experience from a bank, law firm, compliance consulting firm or asset manager