Compliance Analyst

Verition; New York (NY); On-site; USD 80,000 - 100,000; Full time

Job summary

Verition Fund Management LLC seeks a Compliance Analyst to join its Legal/Compliance team in New York, NY. This entry-level role focuses on upholding the firm’s Code of Ethics and regulatory requirements while supporting day-to-day compliance needs for a multi-strategy hedge fund.

You will monitor personal trading, assist in training programs, review securities transactions, and participate in audits and regulatory filings as the team grows. 0-3 years of experience required.

Qualifications

• BA/BS or equivalent.
• Generalist compliance experience across trade surveillance, core compliance, code of ethics, reports, etc.
• Excellent analytical, organizational, and communication skills.
• Detail-oriented with a high degree of integrity and professionalism.
• Ability to handle confidential information with discretion.

Responsibilities

• Monitor and enforce compliance with the company’s Code of Ethics, including oversight of personal trading, conflicts of interest, gifts and entertainment, and other ethical conduct policies.
• Assist in the development and implementation of compliance training programs for employees.
• Review securities transactions in accordance with the firm’s personal trading policy.
• Conduct periodic audits, testing, and reviews to ensure adherence to the Code of Ethics, documenting findings and recommend corrective actions, as necessary.
• Ongoing Monitoring, Review and Approval of Firm’s Expert Network consultations
• Collaborate with various departments on Compliance-related matters.
• Manage and maintain records of compliance and Code of Ethics activities.
• Assist with communications and trade surveillance.
• Assist with the preparation of periodic Regulatory filings
• Respond to queries from employees regarding compliance issues and provide guidance.

Skills

Analytical skills

Communication

Organizational skills

Detail oriented

Discretion/Confidentiality

Education

BA/BS or equivalent

Job description

Verition Fund Management LLC (“Verition”) is a multi-strategy, multi-manager hedge fund founded in 2008. Verition focuses on global investment strategies including Global Credit, Global Convertible, Volatility & Capital Structure Arbitrage, Event-Driven Investing, Equity Long/Short & Capital Markets Trading, and Global Quantitative Trading.

Title: Compliance Analyst

Location: New York, NY or Greenwich/Norwalk, CT

Desired Years of Experience: 0-3 years

Summary

We are seeking a Compliance Analyst to join our Legal/Compliance team based in New York, NY. As a Compliance Analyst, you will play a critical role in ensuring that all business practices adhere to internal ethical standards as well as regulatory requirements. This entry-level position is ideal for candidates who are looking to develop a career in compliance within the financial services industry. This person would work closely with the Legal/Compliance team on both Code of Ethics and the day-to-day compliance needs of a growing multi-strategy hedge fund.

Key Responsibilities

• Monitor and enforce compliance with the company’s Code of Ethics, including oversight of personal trading, conflicts of interest, gifts and entertainment, and other ethical conduct policies.
• Assist in the development and implementation of compliance training programs for employees.
• Review securities transactions in accordance with the firm’s personal trading policy.
• Conduct periodic audits, testing, and reviews to ensure adherence to the Code of Ethics, documenting findings and recommend corrective actions, as necessary.
• Ongoing Monitoring, Review and Approval of Firm’s Expert Network consultations
• Collaborate with various departments on Compliance-related matters.
• Manage and maintain records of compliance and Code of Ethics activities.
• Assist with communications and trade surveillance.
• Assist with the preparation of periodic Regulatory filings
• Respond to queries from employees regarding compliance issues and provide guidance.

Qualifications

• BA/BS or equivalent.
• Generalist compliance experience across trade surveillance, core compliance, code of ethics, reports, etc.
• Excellent analytical, organizational, and communication skills.
• Detail-oriented with a high degree of integrity and professionalism.
• Ability to handle confidential information with discretion.

Salary Range: $80,000 USD - $100,000 USD