Leading asset-management company with over five decades of successful experience and about $150 billion assets under management seeks a compliance analyst.

In this diversified role, you will be responsible for an array of important compliance matters, including, but not limited to:

  • Overseeing compliance reviews—including guideline monitoring, personal trading, trade blotter, and marketing materials
  • Analyzing guideline restrictions and code Sentinel
  • Reviewing trade and investment opportunities, allocations, IPOs, and cross trades
  • Preparing regulatory filings and monitoring concentration of holdings
  • Preparing documentation to support reviews
  • Creating measures to enhance monitoring program and materials
  • Identifying potential issues

The candidate should possess the following qualifications and experience:

  • Bachelor’s degree
  • Knowledge of Sentinel and other automated guideline monitoring systems
  • A team player who can also take initiative and function independently
  • Minimum of 3 years of work-related experience
  • A background in adviser or fund compliance is mandatory
  • Proficiency in Excel and Word
  • Strong interpersonal skills
  • Strong attention to detail

If you are interested in this role, please email your resume to Jack Kelly at jack@compliancesearch.com.

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