An asset management division of a large global bank seeks a Data Analytics Compliance person.

The investment division consists of three SEC- registered advisers – a high yield bond manager, a relative value fixed income manager and an equity manager. The firm manages assets for institutional separate accounts, private funds, registered investment companies and other types of collective investment vehicles.

Compliance administers the compliance program for these three advisers as well as for registered closed-end funds. The program also covers broker-dealer compliance relating to our mutual fund and private fund sales activities, as well as compliance for several affiliated off-shore investment advisers.


The Data Analytics Compliance professional will be involved with the following:

  • Support regulatory requirements around data management and analysis
  • Assist in data collection, analysis, evaluation and reporting.

The role will assist the firm, through advanced data analytics, in enhancing its compliance surveillance processes in various areas (e.g., client trading, personal trading).

The role will also work with risk, operations and IT to stay up to date on regulatory requirements, compile financial data to be included in required regulatory reports and to enhance regulatory reporting systems.


  • 1 to 2 years’ experience in data management in financial services industry.
  • 1 to 3 years’ experience in compliance, audit or related functions.
  • String PC skills, including proficient knowledge Excel ( including pivot tables and summary functions), and Access, database functions and database reporting skills
  • Data analytics experience; ability to synthesis data and identify themes
  • Proficient and strong attention to detail
  • Ability to prioritize multiple tasks


Please email Jack Kelly at Jack@ComplianceSearch.com


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