Compliance Analyst

Social Capital Resources; New York (NY); On-site; USD 80,000 - 90,000; Full time

Benefits offered by this job

Medical insurance

Vision insurance

401(k)

Paid maternity leave

Disability insurance

Paid paternity leave

Job summary

A top-tier investment management firm is looking for a full-time Compliance Analyst in New York City. The ideal candidate will have a Bachelor's Degree and 1-3 years of experience in compliance, including experience within an Investment or Asset Manager. Key responsibilities include portfolio surveillance and ensuring adherence to client guidelines and regulatory requirements. This opportunity includes competitive benefits such as medical and vision insurance, 401(k), and paid leave.

Qualifications

• 1-3 years of experience working in compliance.
• 1+ years of experience in compliance at an Investment or Asset Manager is a plus.
• Knowledge of the 1940 Act is a plus.

Responsibilities

• Perform portfolio and trade surveillance for compliance.
• Assist with mutual fund trade restrictions and guidelines.
• Oversee post-trade compliance program at the fund administrator.
• Conduct compliance reviews for adviser and fund portfolios.

Skills

Compliance monitoring

Portfolio surveillance

Forensic testing

Client guidelines compliance

Education

Bachelor's Degree

Job description

Compliance Analyst • Social Capital Resources • NYC

Top‑Tier Investment Management Firm in NYC is seeking a full‑time Compliance Analyst.

Pay Range: $80,000 – $90,000 per year (base pay).

Direct message the job poster from Social Capital Resources.

Responsibilities

• Perform portfolio and trade surveillance to ensure that the firm maintains compliance with client guidelines and regulatory requirements.
• Assist with mutual fund trade restrictions, guidelines, and 1940 Act limitations on Charles River OMS.
• Oversee post‑trade compliance program at fund administrator. Review prospectus and SAI updates and update compliance testing matrices.
• Assist with post‑trade and end‑of‑day batch investment compliance monitoring activities for client accounts and mutual fund portfolios.
• Ongoing review and maintenance of the monitoring and testing program for the advisers and funds.
• Conduct transactional, forensic testing and compliance reviews for adviser and fund portfolios.

Qualifications

• Bachelor's Degree
• 1‑3 years of experience working in compliance
• 1+ years of experience working in compliance at an Investment or Asset Manager is a plus
• Knowledge of the 1940 Act is a plus

Seniority Level

Associate

Employment Type

Full‑time

Job Function

Finance

Industries

Investment Management

Benefits

• Medical insurance
• Vision insurance
• 401(k)
• Paid maternity leave
• Disability insurance
• Paid paternity leave

Referrals increase your chances of interviewing at Social Capital Resources by 2x.