Title: Compliance Analyst
Location: New York, NY or Greenwich/Norwalk, CT
Desired Years of Experience: 0-3 years
Summary:We are seeking a Compliance Analyst to join our Legal/Compliance team based in New York, NY. As a Compliance Analyst, you will play a critical role in ensuring that all business practices adhere to internal ethical standards as well as regulatory requirements. This entry-level position is ideal for candidates who are looking to develop a career in compliance within the financial services industry. This person would work closely with the Legal/Compliance team on both Code of Ethics and the day-to-day compliance needs of a growing multi-strategy hedge fund.
Key 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 recommend corrective actions, as necessary.
- Ongoing Monitoring, Review and Approval of 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.
Salary Range
$80,000-$100,000 USD
