Compliance Analyst

ARGA Investment Management; Stamford (CT); On-site; USD 70,000 - 90,000; Full time

Job summary

A leading global value manager in Stamford, CT is seeking a compliance professional to develop policies and conduct compliance training. The role requires 3-5 years of experience in compliance at a registered investment adviser or hedge fund, along with a solid understanding of SEC regulations. Strong verbal and written communication skills are essential in this fast-paced environment.

Qualifications

• 3-5 years of direct compliance experience at a registered investment adviser or hedge fund.
• Solid knowledge of SEC regulations and standards for registered investment advisers.
• Excellent verbal and written communication skills.

Responsibilities

• Develop, draft and maintain compliance policies and procedures.
• Create and deliver compliance training.
• Perform regular reviews and testing across compliance areas.

Skills

Verbal communication skills

Written communication skills

Attention to detail

Organizational abilities

Ability to handle multiple tasks

Job description

ROLE

ARGA Investment Management, LP seeks a motivated compliance professional to join the compliance department in our Stamford, CT office. This individual will report directly to the Chief Compliance Officer.

JOB DESCRIPTION

Responsibilities include, but are not limited to:

• Develop, draft and maintain compliance policies and procedures
• Create and deliver compliance training
• Perform regular reviews and testing (daily, quarterly, annual) across all compliance areas
• Construct/maintain compliance rules in Order Management System
• Assist with regulatory filings (Section 13, Form PF, Form ADV, etc.)
• Review/approve marketing materials and RFPs to ensure compliance with the SEC Marketing Rule
• Assist with regulatory examinations, audits and inquiries
• Analyze new or amended laws, rules and regulations in order to formulate practical solutions for implementation to ensure compliance in all jurisdictions where the firm operates
• Maintain the compliance calendar
• Coordinate with internal stakeholders to assist with new business initiatives and regulatory requirements
• Assist with ad hoc projects and assignments as requested by the Chief Compliance Officer

QUALIFICATIONS

• Minimum 3-5 years of direct compliance experience at a registered investment adviser or hedge fund.
• Solid knowledge of Investment Advisers Act of 1940, the Investment Company Act of 1940, SEC regulations and the standards relevant to registered investment advisers.
• Solid knowledge of the SEC Marketing Rule.
• Excellent verbal and written communication skills.
• Strong attention to detail and organizational abilities.
• Ability to handle multiple tasks simultaneously and work in a fast-paced environment.
• Exercise poise, integrity and discretion at all times.

Candidates with no relevant experience at a registered investment adviser or hedge fund will not be considered.

FIRM DESCRIPTION

ARGA Investment Management is a leading global value manager. ARGA manages global equity portfolios on behalf of institutional clients. We use a sophisticated process combining research and technology to identify businesses that are underpriced. ARGA is based in Stamford, CT, with offices in Chennai and Mumbai, India, Hongkong and London, UK. For more information, visit www.argainvest.com .

ARGA is an equal opportunity employer. ARGA recruits, employs, trains, compensates and promotes regardless of race, religion, color, national origin, sex, disability, age, veteran status, and other protected status as required by applicable law. We are focused on equality and believe our deep commitment to diversity enhances our uniqueness.