Salary $50000 - $70000 per year
Location New York
Consultant Lucky Nguyen
Date posted September 13, 2016
An investment management is looking to add a new compliance analyst to their team. Legal assistants or paralegal backgrounds from a reputable law firm will be strongly considered for this role as well.
About the Compliance Analyst position:
The Compliance Analyst will support the Senior Compliance Officer on a wide array of responsibilities. The compliance analyst will have the opportunity to work closely with the organization's Operations, Finance, and Investor Relations team.
- Document management, including the execution process as well as the organization and maintenance of legal documentation..
- Review trading account-opening documentation and other contracts.
- Prepare regulatory filings required by the SEC, the FCA and other jurisdictions.
- Assist with the implementation of the firm’s compliance policies and procedures.
- Manage the firm’s compliance system and recordkeeping including maintenance and review of certifications and questionnaires, and employee compliance requests/reporting obligations related to personal trading, outside business activities, gifts and entertainment, and political contributions.
- Monitor employee trading activity.
- Assist with periodic compliance testing of firm policies and procedures including personal trading reviews and email surveillance.
- Participate in due diligence/oversight of the firm’s service providers.
- Perform other compliance-related responsibilities and special projects as needed.
The ideal candidate will have 1-2 years of compliance experience or will come from a legal assistant background dealing with financial services. This opportunity will afford long term growth for an individual interested in growing their compliance career from an entry level.
This organization is a prominent investment manager that is growing out the compliance team. This position is a new addition to the compliance team and is not a replacement position. The firm is very focused on long term growth and has consistently performed well in the market in recent years.
If you are a young and motivated individual interested in pursuing a career in compliance, this would be the right opportunity for you.
Apply today or call me, Lucky Nguyen, on 212-704-9900