Compliance Analyst

About the Role

We are seeking a Compliance Analyst to join our Legal/Compliance team based in New York, NY. This entry-level position is ideal for candidates looking to develop a career in compliance within the financial services industry. The role involves working closely with the Legal/Compliance team on both the Code of Ethics and the day-to-day compliance needs of a growing multi-strategy hedge fund.

Responsibilities

• Monitor and enforce compliance with the company’s Code of Ethics, including oversight of personal trading, conflicts of interest, gifts and entertainment, and other ethical conduct policies.
• Assist in the development and implementation of compliance training programs for employees.
• Review securities transactions in accordance with the firm’s personal trading policy.
• Conduct periodic audits, testing, and reviews to ensure adherence to the Code of Ethics, documenting findings and recommending corrective actions as necessary.
• Ongoing monitoring, review, and approval of the firm’s expert network consultations.
• Collaborate with various departments on compliance-related matters.
• Manage and maintain records of compliance and Code of Ethics activities.
• Assist with communications and trade surveillance.
• Assist with the preparation of periodic regulatory filings.
• Respond to queries from employees regarding compliance issues and provide guidance.

Qualifications

• BA/BS or equivalent.
• Generalist compliance experience across trade surveillance, core compliance, code of ethics, reports, etc.
• Excellent analytical, organizational, and communication skills.
• Detail-oriented with a high degree of integrity and professionalism.
• Ability to handle confidential information with discretion.

Pay

Salary Range: $80,000 USD - $100,000 USD