Our client is seeking a Compliance Analyst to join their esteemed team. This role offers the flexibility to work remotely and is an exceptional opportunity for someone with experience in investment advisory firms or financial services' regulatory authorities. The successful candidate will assist in implementing and administering the ongoing oversight of the compliance program as required by Rule 206(4)-7 of the Investment Advisers Act of 1940 and other applicable regulatory obligations.
What you'll do:
As a Compliance Analyst, you will play a pivotal role in maintaining the integrity of our client's operations. You will be responsible for assisting in the implementation and administration of the compliance program. Your duties will include maintaining supervisory policies and procedures designed to prevent violations of federal securities laws. You will ensure timely and accurate regulatory reporting and have a deep understanding of compliance requirements associated with the Investment Advisers Act of 1940 and related SEC regulations & guidance. Your role will involve close collaboration with US regulators, particularly the SEC, but also the CFTC and NFA.
• Assist in implementing and administering the ongoing oversight of the compliance program
• Maintain supervisory policies and procedures designed to prevent violations of federal securities laws
• Ensure timely and accurate regulatory reporting
• Research, understand, and interpret compliance requirements associated with the Investment Advisers Act of 1940 and related SEC regulations & guidance
• Work closely with US regulators, particularly the SEC, but also the CFTC and NFA
What you bring:
The ideal Compliance Analyst candidate brings a wealth of industry knowledge and experience. You hold a Bachelor’s degree and have spent 1-3 years working at an investment advisory firm or hedge fund investing across global markets; or have experience at a financial services’ regulatory authority. Your experience includes administration of personal trading policies and procedures, restricted list maintenance, gifts and entertainment, political contributions/pay-to-play, outside business activities, trade surveillance, and electronic communications reviews. You possess strong problem-solving skills coupled with excellent attention to detail. Your outstanding organizational skills enable you to design strong processes and workflows.
• Bachelor’s degree required
• 1-3 years prior work experience at an investment advisory firm or hedge fund investing across global markets; or experience at a financial services’ regulatory authority
• Experience with administration of personal trading policies and procedures, restricted list maintenance, gifts and entertainment, political contributions/pay-to-play, outside business activities, trade surveillance, and electronic communications reviews
• Strong problem solving and analytical skills with excellent attention to detail
• Outstanding organizational skills and ability to design strong processes and workflows
What sets this company apart:
• Our client is a global diversified alternative asset management firm with a 23-year history of delivering innovative solutions to institutional investors.
