Legal & Compliance Analyst
Salary $80,000 - $90,000 per year
Location New York, NY, USA
Consultant Lucky Nguyen
JobRef 125502/0012019-11-08 2020-01-07 financial-services permanent US New York City New York 10036 USD 80000 90000 90000 YEAR Robert Walters https://www.robertwalters-usa.com https://www.robertwalters-usa.com/content/dam/robert-walters/global/images/logos/web-logos/square-logo.png
An investment management firm 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.
Apply today or call me, Lucky Nguyen, on 212-704-9900