Compliance Analyst - Asset Management

Responsibilities

• Respond to compliance due diligence questionnaires or complete compliance certifications;
• Assist with preparation  and ensuring the timely and accurate filing of all regulatory reports;
• Assist in the review of marketing materials and RFPs;
• Perform daily surveillance of e-communications for the adviser's personnel;
• Help evaluate the adequacy and effectiveness of the investment platform's policies, procedures and internal controls;
• Participate in the planning and execution of the annual review of policies and procedures;
• Participate in the harmonization of compliance procedures or process with global affiliates;
• Investigate compliance issues as they arise. Escalate issues as appropriate to senior managers  
• Perform general compliance and operational risk related functions as instructed
• Participate in compliance related projects as needed.

Requirements

• 1 - 5 years of compliance experience within the asset management, wealth management or hedge fund industry.  Experience at a compliance consulting firm would be considered.
• Good interpersonal skills and effective writing, analytical, and communication skills.
• General knowledge of the Investment Company Act of 1940 is required.  Knowledge of the Investment Adviser's Act of 1940 is a plus.