Compliance Analyst

Social Capital Resources; New York (NY); On-site; USD 65,000 - 70,000; Full time

Job summary

An investment management firm in Midtown, Manhattan is seeking a Compliance Analyst for a full-time position. The successful candidate will assist with oversight of sub-advisers and support compliance testing and monitoring. A Bachelor's degree and 1-3 years of relevant experience are essential. Strong Excel skills are also required. This role offers a salary range of $65,000 to $70,000 annually.

Qualifications

• 1-3 years of experience in fund operations, middle or back office or fund compliance.
• Knowledge of the Investment Adviser Act, Investment Company Act of 1940 and/or UCITS preferred.

Responsibilities

• Assist with oversight of sub-advisers, third-party vendors and service providers.
• Coordinate cross-listings, market openings and registrations across exchanges and regulators.
• Support maintenance of compliance manuals, policy reviews and calendars.

Skills

Strong Excel skills and data experience

Ability to manage multiple priorities

Education

Bachelor's Degree

Job description

Base pay range

$65,000.00/yr - $70,000.00/yr

Investment Management Firm in Midtown, Manhattan is seeking a Compliance Analyst for a full-time position!

Responsibilities

• Assist with oversight of sub-advisers, third-party vendors and service providers
• Assist with fund launches, product lifecycle events across ETFs, UCITS and private funds
• Assist in preparing or reviewing DDQs, fund registration documents, website postings
• Coordinate cross-listings, market openings and registrations across exchanges and regulators
• Assist in the execution and documentation of the firm’s compliance testing and monitoring program
• Support maintenance of compliance manuals, policy reviews and calendars
• Help prepare and track regulatory filings (e.g., Form ADV, Form PF, UCITS filings, etc.)
• Code of Ethics compliance monitoring, including approving / denying requests for personal trading, outside business activities, personal investments

Qualifications

• Bachelor's Degree
• 1-3 years of experience in fund operations, middle or back office or fund compliance
• Strong Excel skills and data experience
• Proven ability to manage multiple priorities in a deadline-driven environment
• Knowledge of the Investment Adviser Act, Investment Company Act of 1940 and/or UCITS preferred

Seniority level

• Associate

Employment type

• Full-time

Job function

• Finance

Industries

• Investment Management