Hybrid Compliance Analyst - Private Equity


Division

Financial Services

Location

New York, New York

Employment Type

Permanent



SHARE THIS JOB
 

A renowned $40B+ Private Equity fund is seeking a Compliance Analyst! This role will touch various aspects of the firm's compliance function including the Code of Ethics, portfolio maintenance and will help build out the firm's Fin-Tech platform from the compliance perspective. Hybrid schedule offered!


Compensation : $85000 - $130000
Job ID : 28195

Job Function:

  • Supervise firm’s compliance monitoring technology platform and review Code of Ethics preapprovals.
  • Manage personal trade review and brokerage account maintenance.
  • Liaise with the firm’s marketing team and review marketing materials.
  • Coordinate completion and submission of firm regulatory filings, including Form ADV, Form BD, Form PF, and others.


Job Requirements:

  • 3-8 years of financial services compliance experience at a bank or investment management firm.
  • Experience with brokerage account maintenance, Code of Ethics, employee personal trading and client onboarding preferred.

 

Disclosure: The hourly rates and/or salaries listed may or may not reflect total compensation packages including bonus and fringe benefits, etc., nor are the advertisement(s) posted a guarantee of a certain compensation package for a position or bona fide offer of employment. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, or protected veteran status and will not be discriminated against on the basis of disability.

 

#LI-BH1

28195