Compliance Analyst / Associate

Compliance Analyst / Associate – NYC (hybrid)

A global investment firm with over $4 billion in assets under management across venture, growth and credit is seeking a Compliance Analyst/Associate. This person will work closely with the firm’s Compliance Officer to support the firm’s 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.

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

The ideal candidate will have:

· Bachelor’s degree

· 1-3 years of compliance experience at a registered investment adviser or compliance consultancy firm. Must have solid experience/knowledge of Code of Ethics compliance.

· 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

· Ability to maintain high level of discretion and confidentiality

· Strong Microsoft Office, Excel, and PPT skills

· Intellectual curiosity and humility

· The ability to work both independently and as a team, effectively multi-task, and manage deadlines

· Strong written and oral communication and interpersonal skills

· Strong critical thinking skills

· High IQ, EQ and ethical standards

Compensation: $80-105K (DOE) plus bonus and competitive benefits