Investment Compliance Analyst
pure searchNew York, NY
Investment Compliance Analyst
pure searchNew York, NYSenior L5
Portfolio Management and Investment AdviceMiscellaneous Financial Investment ActivitiesInvestment Banking and Securities Intermediation
APPLY NOWWe're working with a leading global alternative investment firm to add an Investment Compliance Analyst to the New York team. The position will support the firm’s information-barrier and conflicts framework, including MNPI controls, watch and restricted lists, trade surveillance and employee compliance. It offers regular interaction with investment professionals, Legal and Compliance teams across a global business.
Key Responsibilities:
- Identify, escalate and help manage potential conflicts of interest
- Maintain watch and restricted lists
- Support MNPI controls, wall-crossings and information barriers
- Review employee trading, private investments and outside business activities
- Conduct trade and electronic communications surveillance
- Implement and monitor temporary information barriers
- Coordinate with investment teams, Legal, Compliance and external counsel
- Review and process firm trade requests
- Support related policies, systems and compliance projects
Requirements:
- 1 - 3 years of relevant financial-services compliance experience
- Experience in investment compliance, surveillance, control room, employee compliance, conflicts or a related area
- Familiarity with MNPI, information barriers, watch and restricted lists, or personal trading
- Knowledge of the Investment Advisers Act and relevant SEC or FINRA requirements is advantageous
- Strong judgment and the confidence to identify and escalate potential issues
- Excellent organization, attention to detail and communication skills
- Able to manage competing priorities and deadlines in a fast-paced environmentSIE or FINRA qualifications helpful; sponsorship is available where required
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Level
Senior L5
Location
New York, NY
Occupation
Compliance Managers
Industry
Portfolio Management and Investment Advice
Posted
9 days ago