Senior Compliance Analyst, Investment Advisory
New York, NY
$115k - $135k DOE plus bonus
Hybrid Work Environment
Company Paid Benefits!
Are you ready to take your compliance career to the next level? Join a world-class global investment firm with over $200 billion in AUM, where your expertise will drive not only the company's compliance initiatives but also your own professional growth. At this firm, you'll be a key player in a collaborative environment committed to excellence, integrity, and client focus. This is more than a role—it's a career path where your contributions directly influence success.
As the Senior Compliance Analyst in the Investment Advisory team, you’ll be instrumental in ensuring compliance with a focus on innovation, risk mitigation, and operational excellence. This role offers the opportunity to expand your knowledge and skills through dynamic responsibilities and interaction with senior leadership. Here, you’ll work with a forward-thinking compliance program, setting the standard in the industry.
Specific Responsibilities:
• Administration of the firm’s Personal Trading Policy, ensuring adherence to the highest standards.
• Managing the FIS Employee Compliance Manager system, becoming the go-to expert.
• Oversight of employee conduct processes, including outside business activities, political contributions, and AML-related functions.
• Preparing regulatory filings and compliance reports for senior leadership and the Compliance Council.
• Conducting forensic testing and engaging in high-visibility project work that impacts the entire organization.
What You’ll Bring to the Team:
• BA / BS degree in Economics, Finance, or a similar discipline
• 3-5 years of compliance experience in Asset Management or a related field.
• Deep understanding of the Investment Advisers Act of 1940 and the Investment Company Act of 1940, specifically Rule 206(4)-7 and 38a-1
• Strong organizational, analytical, and communication skills.
• Competency in MS PowerPoint, Excel, and Word formatting; experience with FIS Employee Compliance Manager is a plus.
• A passion for problem-solving, multi-tasking, and thriving in a fast-paced environment.
Job Type: Full-time
Pay: $120,000.00 - $135,000.00 per year
Application Question(s):
• Do you have the 1940 ACT experience?
Education:
• Bachelor's (Required)
Experience:
• Investment management: 3 years (Required)
• Compliance management: 3 years (Required)
Ability to Relocate:
• New York, NY 10017: Relocate before starting work (Required)
Work Location: Hybrid remote in New York, NY 10017
Location: New York, NY
Posted: Sept. 13, 2024, 9:14 a.m.
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