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Compliance Analyst (Temp) (1221-296)
New York, NY (Midtown)
NYC asset management firm seeks Compliance Analyst for temporary assignment
covering an employee on maternity leave.
Will assist with
compliance monitoring program (testing of investment guidelines and
trade allocation review)
monitoring/ensuring compliance with applicable US/UK regulations
development of policies/procedures that reflect changes in firms
marketing review, DDQ requests, monthly compliance questionnaires
reviewing requests for personal trading/political
contributions/outside business activities/gifts and entertainment via
onboarding new employees
maintenance of restricted and gray lists
BS/BA degree and 1-3 years of work experience required
40 Act and buy-side trading compliance examination experience preferred
Required: great written/oral communication skills; accuracy/attention to
detail; ability to thrive in deadline-driven environment; excellent
organizational skills; ability to work well with Compliance team; strong
Microsoft Office skills with proficiency in Excel, Word, and PowerPoint
Alternative Investments // Asset Management // Compliance and Legal