Compliance Analyst - Atlantic Group : Job Details

Location: NYC - Midtown (3-4 days in office)

Compensation: $100k-$120k base + bonus ($20k-$30k)

A global investment firm is seeking to hire a Compliance Analyst who will work closely with the firm s Compliance Officer to support the compliance program. This role is a great opportunity for a motivated compliance professional to learn more about private funds and investment adviser compliance. The individual filling this role will report directly to the Compliance Officer. This role will be based in New York City and provides flexibility to work from home.

Key areas of responsibility:

• Support the Compliance Officer with day-to-day activities and monitoring of the firm s compliance program
• Administer and maintain the firm s Code of Ethics (e.g., personal trading, political contributions, outside business activities, compliance certifications, etc.)
• Review and assess for any potential conflicts or violations of firm s Code of Ethics on an ongoing basis
• Assist with updating the firm's compliance manual and regulatory filings (e.g., Form ADV, Form PF, etc.)
• Own the administration and maintenance of the firm s restricted list
• Facilitate conducting various compliance testing and provide oversight
• Management of the firm s compliance reporting software
• Present and support new hire compliance onboarding tasks and training
• Support the Compliance Team with the firm's annual compliance review and/or mock SEC exams
• Maintenance and organization of the firm s compliance books and records (e.g., compliance logs, compliance calendar, side letter matrix, etc.)
• Aid the Compliance officer with review of the firm s marketing materials
• Liaising with various groups within the firm and applicable external service providers
• Assist with monitoring regulatory developments and providing ad hoc compliance and legal operations support as needed

Requirements

• 1-3 years of compliance experience at a registered investment adviser or compliance consultancy firm
• Knowledge of the Investment Advisers Act of 1940 and associated rules thereunder with an emphasis on Rule 204A-1
• Extreme attention to detail, self-motivated, proactive, strong organizational skills, and willingness to learn
• Strong prioritization and project management skills, both independently and in a team
• Intellectual curiosity and humility
• Bachelor s degree
• Ability to maintain high level of discretion and confidentiality
• Strong written and oral communication and interpersonal skills
• Critical thinking skills
• High EQ & IQ
• Strong Microsoft Office, Excel, and PPT skills

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