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Job ID Number: 1248373665
Please reference this Job ID number in any communication you may send.
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| Job Category: |
Compliance Analyst |
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| Job Title: |
Hedge Fund Compliance Analyst |
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| State/Location: |
New York, NY |
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| Recruiter Name: |
Jack Kelly |
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| Recruiter Email: |
JKelly@ComplianceSearch.com |
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| Description: |
Our client is a global alternative investment management firm which currently manages over $15 billion.
The company pursues a wide array of sophisticated investments and has international offices.
JOB DESCRIPTION
Responsibilities will include:
Assisting with the implementation and oversight of the firm’s compliance program,
Monitoring of daily compliance matters,
Develop and enhance policies and procedures,
Review of best execution, trade allocations, and personal account trades,
Code of Ethics
Records retention,
Assisting in the management of examinations and audits from agencies and other parties,
Assisting in completing regulatory filings,
Providing compliance support to the firm’s international affiliates,
Maintaining the firm’s books and records,
Assisting in monitoring employee compliance reporting (personal trade monitoring, code of ethics and other compliance certifications, etc.),
Assisting with staff compliance training,
Assisting with the firm’s annual compliance review,
Drafting and reviewing compliance memos, board minutes, and other documents and other duties as needed and assigned.
REQUIREMENTS
• BA required with solid academic performance
• 3 or more years of compliance or regulatory experience at a hedge fund or other asset management firm, law firm, compliance consulting firm or investment bank
• Advanced understanding of Investment Advisers Act
• Former SEC experience a plus
• Excellent verbal/written communication skills
• Strong Microsoft Office and computer skills
• Superior work ethic and professional habits
Please email resumes to Jack Kelly at jkelly@ComplianceSearch.com
Jack Kelly | Managing Director | The Compliance Search Group
Direct: 212 997 3166 | Cell: 908 917 2429 I Email: jkelly@ComplianceSearch.com
1001 Avenue of the Americas 24th floor, New York, NY 10018
Website: www.ComplianceSearch.com and www.CompliancEX.com
Compliance | Legal | Regulatory | Accounting | Audit | Risk Management | Operational Risk I Counterparty Credit | Financial Controls
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