 |
 |
Compliance Analyst
Company:
Hedge Fund
Salary:
Base, Bonus - Will consider Relo
Location:
New York City, NY
Job Description:
This position will provide on-site compliance support for the firm's West Los Angeles based employees (FAS, Institutional, and trading).
Trade/portfolio monitoring and exception reporting
Requirements analysis, design, testing, and management of rules in the firms pre- and post- trade compliance systems
Review advertising, sales, and institutional materials for compliance with industry regulations as well as firms policy and procedures
Support sub-advisor reporting obligations
Trade/portfolio monitoring and exception reporting
Requirements analysis, design, testing, and management of rules in the firms pre- and post- trade compliance systems
Review advertising, sales, and institutional materials for compliance with industry regulations as well as firms policy and procedures
Support sub-advisor reporting obligations
Job Requirements:
At least four years compliance experience with an investment advisor or mutual fund company. Bachelor's degree in Finance, Accounting, Economics and/or equivalent work experience Well-developed computer skills; intermediate to expert use of MS Office is a must. Previous experience with trade compliance applications is a plus.
