Senior Compliance Analyst
An Investment Management firm has an opening for Senior Compliance Analyst. They are seeking a Senior Compliance Analyst to contribute to the continued development, implementation, and maintenance of compliance policies, procedures, and ongoing oversight of the firm’s activities. This is an excellent opportunity for an experienced compliance professional to join a growing Compliance Department in a premier alternative asset manager. In this role, you will have opportunities to apply your experience and analytical skills to a wide variety of issues and projects.
The ideal candidate for the role should possess the following characteristics and qualifications:
Ø Bachelor’s degree with 7-10 years’ experience in investment adviser compliance, either in the compliance departments of an investment adviser, at a firm that audits or consults with investment advisers or at a regulator preferred; relevant legal or consulting experience will also be considered
Ø Strong organizational, analytical and communication skills with an attention to detail and ability to meet strict deadlines
Ø Strong executive presence – able to present work product to busy investment colleagues at all levels of the organization and respond, in real time, to detailed and complex questions
Ø Strong understanding of the asset management industry and securities markets, as well as a thorough knowledge of securities laws that relate to alternative fund managers (e.g., Investment Advisers Act, Investment Company Act, Securities Act, Exchange Act and Commodity Exchange Act).
Ø Knowledge and experience with applicable anti-corruption laws and compliance a plus (e.g., Foreign Corrupt Practices Act and AML/KYC requirements).
Ø Knowledge and experience with investment adviser operations and general familiarity with various investment instruments, private investment experience a plus