Compliance Analyst

Responsibilities

• Assist in the Firm’s global compliance program, records, and systems, which include regulatory filings, examinations, investigations, regulatory inquiries, audits, and inspections
• Manage the Firm’s code of ethics/personal trading policies utilizing compliance software
• Liaise with employees to ensure all necessary personal trading information is provided to the Firm to enable trade monitoring in accordance with regulatory requirements
• Work on the personal trading program including personal trade disclosures, pre-approval requests and reconciliation
• Cook up the Firm’s compliance certification program
• Coordinate with the Firm’s compliance training team to facilitate the development of controls and system enhancements to improve the Firm’s compliance program
• Aid with the internal compliance projects, such as preparing metrics of department projects and trend analysis
• Undertake ad-hoc compliance-related projects, as assigned

Qualifications

• 2+ years’ experience in financial services control functions, ideally Hedge Fund and Private Equity regulatory compliance experience or accounting, investor services, policy, audit or similar process-driven and detail-oriented experience in financial services
• Bachelor’s degree from an accredited university or college with a strong academic record
• Strong attention to detail and organization skills, possess the ability to spot issues, and respond timely
• Outstanding verbal and written communication skills, with poise and confidence to interact with internal clients at all levels
• Ability to prioritize in a fast paced, high pressure, constantly evolving environment with high urgency and ownership