Investment Management Compliance Analyst

  •  

New York, NY

Industry: Accounting, Finance & Insurance

  •  

Less than 5 years

Posted 26 days ago

  by    Jack Kelly

Leading asset-management company with over five decades of successful experience and about $150 billion assets under management seeks a compliance analyst.

In this diversified role, you will be responsible for an array of important compliance matters, including, but not limited to:

  • Overseeing compliance reviews—including guideline monitoring, personal trading, trade blotter, and marketing materials
  • Analyzing guideline restrictions and code Sentinel
  • Reviewing trade and investment opportunities, allocations, IPOs, and cross trades
  • Preparing regulatory filings and monitoring concentration of holdings
  • Preparing documentation to support reviews
  • Creating measures to enhance monitoring program and materials
  • Identifying potential issues

The candidate should possess the following qualifications and experience:

  • Bachelor's degree
  • Knowledge of Sentinel and other automated guideline monitoring systems
  • A team player who can also take initiative and function independently
  • Minimum of 3 years of work-related experience
  • A background in adviser or fund compliance is mandatory
  • Proficiency in Excel and Word
  • Strong interpersonal skills
  • Strong attention to detail

If you are interested in this role, please email your resume to Jack Kelly at .

$132K - $180K