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Compliance Analyst

  • Location: New York
  • Salary: $Competitive$
  • Job type: Permanent
  • Job reference: gc/167838
  • Sector: Regulatory Compliance , Asset management/Funds
Job Description

A global asset manager is looking for a compliance analyst to join its growing compliance team in the United States. Headquartered internationally, the U.S. is expanding its book of business and is seeking to strengthen its compliance function given increased regulatory oversight.


The role will be responsible for administering the broad compliance program including updating the compliance monitoring, assisting in compiling regular compliance questionnaires, performing ongoing periodic testing. This role will touch upon a variety of compliance matters faced by an asset management firm in the course of business including regulatory filings, monitoring gifts and expenses, updating compliance manuals, etc. 


You will:


- ideally hold a JD

- have some understanding of asset management as well as applicable regulations such as the Investment Advisors Act.

- be comfortably working in a small team and working with senior individuals and investment advisors. 


This is an outstanding opportunity for a new graduate or junior professional to take a step into a compliance role that will provide challenge and reward. Successful candidates will be ready to learn and take on any task handed to them and I return will get outstanding exposure within asset management.


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