Compliance Analyst (1940s Investment Advisor Act Required) at Jobot
New York, NY 10022
About the Job
Global Asset Management Firm Seeks Compliance Analyst to Join Growing Compliance Team!! Great Benefits! Great Flexibility! Hybrid/Remote Work Schedule!
This Jobot Job is hosted by: Monica Feltz
Are you a fit? Easy Apply now by clicking the "Quick Apply" button
and sending us your resume.
Salary: $85,000 - $120,000 per year
A bit about us:
Our client is a global diversified alternative asset management firm/SEC-registered investment adviser with 20+ years of experience in delivering strong risk-adjusted returns and innovative solutions for investors. They have over $13 billion under management.
Why join us?
Medical + Wellness Plan
Dental
Vision
401K Match + Contribution
STD/LTD
Life Insurance
PTO
Bonuses
And More!!
Job Details
Job Details:
Our Client is seeking an experienced Compliance Analyst to join our dynamic team in the finance industry. This is a permanent position suitable for a highly motivated and detail-oriented individual who has a deep understanding of the regulatory environment in the financial services sector. The successful candidate will play a pivotal role in ensuring that our firm remains in compliance with the Investment Advisers Act of 1940, Rule 206(4)-7, federal securities law, and other relevant regulations. This role will provide an exciting opportunity to work in a fast-paced, challenging environment, with a focus on compliance within the investment advisory and hedge fund sectors.
Responsibilities:
The Compliance Analyst will be responsible for the following duties:
1. Ensuring compliance with the Investment Advisers Act of 1940, Rule 206(4)-7, federal securities law, and other relevant regulations.
2. Implementing and maintaining the firm's Code of Ethics, focusing on areas such as personal trading, insider trading, gifts and entertainment, and political contributions.
3. Monitoring and preventing potential pay-to-play and insider trading activities.
4. Managing electronic communications in compliance with regulatory requirements.
5. Ensuring compliance with the Foreign Corrupt Practices Act (FCPA).
6. Preparing and submitting regulatory reports to financial services' regulatory authorities.
7. Providing compliance guidance to the firm's investment advisory and hedge fund teams.
8. Staying up-to-date with regulatory changes and advising the firm on necessary adjustments to business practices.
Qualifications:
The ideal candidate for the Compliance Analyst position will possess the following qualifications:
1. A minimum of 2 years of experience in a similar role within the financial services industry, preferably within an investment advisory firm or hedge fund.
2. Extensive knowledge of the Investment Advisers Act of 1940, Rule 206(4)-7, and federal securities law.
3. Familiarity with the Code of Ethics and its application to areas such as personal trading, insider trading, gifts and entertainment, and political contributions.
4. Experience in monitoring electronic communications and ensuring compliance with FCPA.
5. Proven track record in preparing and submitting regulatory reports.
6. Strong understanding of the regulatory environment, including the latest changes and trends.
7. Excellent communication and interpersonal skills, with the ability to provide clear and concise compliance guidance.
8. Strong analytical skills, with the ability to interpret complex regulatory requirements and apply them to business practices.
We are looking for a proactive and diligent professional who thrives in a fast-paced environment and is committed to upholding the highest standards of compliance. If you are ready to take on this exciting challenge, we look forward to hearing from you.
Interested in hearing more? Easy Apply now by clicking the "Quick Apply" button.
This Jobot Job is hosted by: Monica Feltz
Are you a fit? Easy Apply now by clicking the "Quick Apply" button
and sending us your resume.
Salary: $85,000 - $120,000 per year
A bit about us:
Our client is a global diversified alternative asset management firm/SEC-registered investment adviser with 20+ years of experience in delivering strong risk-adjusted returns and innovative solutions for investors. They have over $13 billion under management.
Why join us?
Medical + Wellness Plan
Dental
Vision
401K Match + Contribution
STD/LTD
Life Insurance
PTO
Bonuses
And More!!
Job Details
Job Details:
Our Client is seeking an experienced Compliance Analyst to join our dynamic team in the finance industry. This is a permanent position suitable for a highly motivated and detail-oriented individual who has a deep understanding of the regulatory environment in the financial services sector. The successful candidate will play a pivotal role in ensuring that our firm remains in compliance with the Investment Advisers Act of 1940, Rule 206(4)-7, federal securities law, and other relevant regulations. This role will provide an exciting opportunity to work in a fast-paced, challenging environment, with a focus on compliance within the investment advisory and hedge fund sectors.
Responsibilities:
The Compliance Analyst will be responsible for the following duties:
1. Ensuring compliance with the Investment Advisers Act of 1940, Rule 206(4)-7, federal securities law, and other relevant regulations.
2. Implementing and maintaining the firm's Code of Ethics, focusing on areas such as personal trading, insider trading, gifts and entertainment, and political contributions.
3. Monitoring and preventing potential pay-to-play and insider trading activities.
4. Managing electronic communications in compliance with regulatory requirements.
5. Ensuring compliance with the Foreign Corrupt Practices Act (FCPA).
6. Preparing and submitting regulatory reports to financial services' regulatory authorities.
7. Providing compliance guidance to the firm's investment advisory and hedge fund teams.
8. Staying up-to-date with regulatory changes and advising the firm on necessary adjustments to business practices.
Qualifications:
The ideal candidate for the Compliance Analyst position will possess the following qualifications:
1. A minimum of 2 years of experience in a similar role within the financial services industry, preferably within an investment advisory firm or hedge fund.
2. Extensive knowledge of the Investment Advisers Act of 1940, Rule 206(4)-7, and federal securities law.
3. Familiarity with the Code of Ethics and its application to areas such as personal trading, insider trading, gifts and entertainment, and political contributions.
4. Experience in monitoring electronic communications and ensuring compliance with FCPA.
5. Proven track record in preparing and submitting regulatory reports.
6. Strong understanding of the regulatory environment, including the latest changes and trends.
7. Excellent communication and interpersonal skills, with the ability to provide clear and concise compliance guidance.
8. Strong analytical skills, with the ability to interpret complex regulatory requirements and apply them to business practices.
We are looking for a proactive and diligent professional who thrives in a fast-paced environment and is committed to upholding the highest standards of compliance. If you are ready to take on this exciting challenge, we look forward to hearing from you.
Interested in hearing more? Easy Apply now by clicking the "Quick Apply" button.
Salary
85,000 - 120,000 /year