Overview

Job Description:

Our client, an alternative investment firm, is seeking a Compliance Analyst to work with their Legal and Compliance Department. This is an excellent opportunity for a talented individual looking to experience an entrepreneurial and intellectually challenging in-house legal/compliance environment, and to learn about the legal and compliance implications of operating a global investment management business.

Primary Duties:

  • Assist with all aspects of a compliance program centered on regulatory requirements instituted by the Securities and Exchange Commission, the Financial Industry Regulatory Authority, and the Commodities Futures Trading Commission.
  • Assist with the Compliance Department’s monitoring and testing program, which would include identifying potential areas of deficient internal controls, violations of company policies and procedures and non-compliance with various U.S. and international regulatory requirements.
  • Provide detailed written support of policies and procedures for legal and compliance team

Required Job Skills:

The ideal candidate should possess:

  • Strong academic credentials and organizational skills,
  • Be curious and self-motivated,
  • Be able to work efficiently and effectively in a team atmosphere or independently.
  • Prior experience in a compliance or paralegal role with a registered broker-dealer or asset management firm would be valuable.
  • To be considered for this role, the candidate must have strong written communication skills. Strong technology skills would be helpful but not required.

Please email resumes to Jack Kelly – JKelly@ComplianceSearch.com

Upload your CV/resume or any other relevant file. Max. file size: 50 MB.