Investments Compliance & Operations Analyst - Phaxis : Job Details

We are a fast-growing investment management firm offering a range of public and private fund strategies across the U.S. and international markets. Our mission is to bring differentiated and forward-thinking investment solutions to clients. With approximately $9 billion in assets under management and a lean, collaborative team of around 45 professionals, we continue to expand our presence across traditional and emerging sectorsincluding digital assets.

This is a tight-knit, hands-on compliance and operations group where everyone contributes meaningfully to the success of the firm. The team is led by a seasoned industry professional with nearly two decades of experience in asset management. We value thoughtful communication, mutual support, and a shared commitment to high standards. This is a team that enjoys working hard together and doing things the right way.

We are seeking a detail-oriented and intellectually curious analyst to join our compliance and operations function. This role offers broad exposure to investment management processes and is ideal for someone early in their career who wants to build a deep foundation in both compliance and fund operations. You'll be involved in supporting key business functions across our platformwhich includes ETFs, offshore funds, and private vehiclesand will regularly collaborate with colleagues in product development, operations, marketing, and distribution. This is a full-time, in-office position based in Midtown Manhattan (4 days/week in office).

Key responsibilities include:

Compliance Support

• Participate in the execution and documentation of internal compliance monitoring programs
• Assist with the maintenance and periodic review of compliance manuals, calendars, and internal policies
• Prepare and track regulatory filings (e.g., Form ADV, Form PF, cross-border regulatory documentation)
• Conduct monitoring activities related to personal trading, outside business activities, and other Code of Ethics requirements
• Help oversee third-party relationships including sub-advisors, service providers, and vendors

Operations & Product Support

• Support operational and regulatory workflows for new fund launches and product events across multiple fund structures
• Contribute to the preparation of marketing and disclosure materials including DDQs, fact sheets, and regulatory documentation
• Coordinate exchange listings and fund registrations across various global markets
• Identify opportunities to streamline and enhance internal processes through automation and workflow optimization

Candidate profile:

• Bachelors degree required (finance, accounting, economics, or related discipline preferred)
• 13 years of experience in fund operations, investment compliance, or related financial services functions
• Familiarity with relevant regulatory frameworks (e.g., Investment Company Act of 1940, Investment Advisers Act, UCITS) is a plus
• Strong Excel and data management skills
• Capable of handling multiple tasks and timelines in a fast-paced environment
• Eager to learn and take initiative