A top-tier institutional asset management firm in midtown Manhattan is currently looking to hire a Compliance Analyst with 1 - 5 years of compliance experience within the asset management, wealth management or hedge fund industry. The Compliance Analyst will assist in all aspects of compliance in adherence to the Investment Company Act of 1940 and the Investment Advisers Act of 1940 while supporting institutional separately managed accounts and open / closed end funds.
- Respond to compliance due diligence questionnaires or complete compliance certifications;
- Assist with preparation and ensuring the timely and accurate filing of all regulatory reports;
- Assist in the review of marketing materials and RFPs;
- Perform daily surveillance of e-communications for the adviser’s personnel;
- Help evaluate the adequacy and effectiveness of the investment platform’s policies, procedures and internal controls;
- Participate in the planning and execution of the annual review of policies and procedures;
- Participate in the harmonization of compliance procedures or process with global affiliates;
- Investigate compliance issues as they arise. Escalate issues as appropriate to senior managers
- Perform general compliance and operational risk related functions as instructed
- Participate in compliance related projects as needed.
- 1 - 5 years of compliance experience within the asset management, wealth management or hedge fund industry. Experience at a compliance consulting firm would be considered.
- Good interpersonal skills and effective writing, analytical, and communication skills.
- General knowledge of the Investment Company Act of 1940 is required. Knowledge of the Investment Adviser’s Act of 1940 is a plus.