Compliance Associate (Capital Markets)

Coda Search; New York (NY); Sur place; USD 90 000 - 130 000; Plein temps

Résumé du poste

Coda Search is seeking an Associate to join a global Compliance Team within a leading Asset Management client in New York. You will work closely with Legal, Compliance, and Regulatory teams at a highly visible level, interfacing with CCO, Legal/GC, and senior finance executives.

Responsibilities include regulatory filings, testing surveillance, and process improvements to drive efficiency across the group. Strong data analysis, communication, and Excel/PowerPoint skills are essential.

Qualifications

• Bachelor’s degree from an accredited college or university.
• Candidate will have demonstrated ability to analyze data and present findings to managerial personnel.
• 1+ years of experience in compliance, legal, regulatory advisory, risk management, project coordination, or related financial services role preferred.
• Minimum 1+ years related professional (Compliance and/or Legal) experience (Asset Management/Hedge Fund/Private Equity) or similar.
• Intermediate to Advanced Microsoft Excel/PowerPoint skills are required.
• Effective oral and written communication skills and ability to listen effectively.

Responsabilités

• Oversee new initiatives targeting maintenance of laws, rules and regulations to support Corporate Compliance.
• Aid Chief Compliance Officer with process improvement and policy changes.
• Prepare regulatory/governance filings and collaborate with Head of compliance.
• Monitor compliance testing and surveillance.
• Assist in researching and responding to regulator inquiries.
• Review personal trading activities for compliance with regulations and Code of Ethics.
• Prepare investment-related presentations for senior management and principals.
• Identify opportunities to centralize and optimize processes to improve performance.
• Assist with special projects as requested.

Connaissances

Data analysis

Oral and written communication

Regulatory awareness

Analytical mindset

Presentation of findings

Formation

Bachelor’s degree

Outils

Microsoft Excel

PowerPoint

Description du poste

One of our highly reputable Alternative Asset Management clients currently seeking to add an Associate to their growing global Compliance Team. Ideal candidate will be working very closely with several Teams including but limited to Legal, Compliance, and Regulatory. This individual will also be responsible for working very closely with various department Heads (Highly Visible role) including but not limited to; CCO, Legal/GC, Director of Finance, COO and CFO.

Essential Functions:

• Oversee new initiatives targeting the maintenance of the Laws, Rules and Regulations to the support firm Corporate Compliance Function
• Aid Chief Compliance Officer with process improvement, and highlight potential policies and procedures changes
• Prepare regulatory/governance filings, collaborate with Head of compliance to support firm compliance initiatives
• Monitor compliance testing and surveillance
• Assist in researching and responding to comments and/or inquiries received from regulators
• Review and test personal trading activities for compliance with regulations and the Code of Ethics
• Preparing investment related presentations for senior management and firm principals
• Candidate will be responsible for identifying opportunities to centralize and optimize the processes to constantly improve overall group performance
• Assist with special projects, as requested.

QUALIFICATIONS:

• Bachelor’s degree from an accredited college or university;
• The candidate will have a demonstrated ability to analyze data and be able to present findings to the managerial level personnel.
• 1+ years of experience in compliance, legal, regulatory advisory, risk management, project coordination, or a related financial services role preferred.
• Minimum 1+ years related professional (Compliance and/or Legal) experience (Asset Management/Hedge Fund/Private Equity/ Fund Administration or similar)
• Intermediate to Advanced Microsoft Excel/PowerPoint skills are required.
• Effective oral and written communication skills and ability to listen effectively.