Compliance Analyst

Manhattan Permanent USD75,000 - USD100,000
  • Opportunity to join a prestigious Private Investment Management firm
  • Client will move quickly with qualified candidates

About Our Client

Our client is a private, independent investment management firm. The firm manages equities, fixed income, private equity and hedge fund portfolios for global institutional investors, advisors and high-net-worth individuals.

Job Description

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.

Description

Key Responsibilities

  • Participate in compliance testing as part of the firm's overall Investment Advisers Act Rule 206(4)-7 and FINRA 3130 program.
  • Assist with updating, maintaining, and drafting policies and procedures.
  • Conduct Email Surveillance utilizing Globaly Relay Archive.
  • Review and analyze reports generated by the firm's surveillance systems and address surveillance issues as necessary.
  • Assist business units on compliance issues relating to Code of Ethics, Gifts/Entertainment, Money Laundering Prevention, and Outside Activities.
  • Prepare and submit regulatory filings (i.e., Form 13G and 13D filings).
  • Review and approve employee requests for items such as political contributions, private investments, and outside business activities.
  • Assist with regulatory examinations, inquiries, investigations and projects, as necessary.

The Successful Applicant

Qualifications

  • Bachelor's degree
  • A minimum of 2-6 years of investment advisory or broker-dealer compliance experience.
  • Experience with equity, and fixed income securities products.

What's on Offer

Our client offers

  • Competitive Base Salary
  • Outstanding benefits with 15% profit sharing
  • Hybrid working model & virtual interview process
  • Amazing culture & work-life balance
Contact
Josh Delgado
Quote job ref
JN-022022-5286688

Job summary

Sector
Banking & Financial Services
Sub Sector
Compliance & Legal
Industry
Financial Services
Location
Manhattan
Contract Type
Permanent
Consultant name
Josh Delgado
Job Reference
JN-022022-5286688