Compliance Analyst; Investment Management

Position: Compliance Analyst (Investment Management)

• Location:
  
  New York, NY
• Type:
  Perm (Contingency)
• Job #47700
• Salary: $85,000

Job Overview - Compliance Analyst (Investment Management)
Compensation: $85,000 - $105,000/year + bonus

Location:

New York, NY

Schedule:

Monday to Friday (Hybrid)

Atlantic Group is hiring a Compliance Analyst (Investment Management) in New York, NY for our client, supporting investment advisory compliance, surveillance, regulatory filings, and policy governance. This hybrid role partners closely with compliance, business, and technology teams to oversee employee compliance, monitoring programs, and regulatory requirements while ensuring adherence to firm policies and best practices within a fast-paced investment management environment.

Responsibilities as the Compliance Analyst:

• Surveillance & Monitoring: Review and analyze trade, communications, and employee surveillance reports to identify, investigate, and escalate potential compliance issues.
• Policy Guidance & Issue Resolution: Provide day-to-day compliance guidance on the Code of Ethics, AML policies, restricted lists, outside activities, and gifts and entertainment matters.
• Regulatory Filings & Exams: Prepare and submit regulatory filings including Forms 13G and 13D and support regulatory examinations, inquiries, and investigations.
• Communications Surveillance: Conduct email and electronic communications monitoring, with experience using surveillance and archiving systems preferred.
• Policies, Training & Improvement: Support compliance testing, deliver training, maintain policies and procedures, and partner with Technology to enhance compliance systems and workflows.

Qualifications for the Compliance Analyst:

• Education: Bachelor's degree in Finance, Business, Accounting, Economics, or a related field required.
• Experience: 1-5 years of investment advisory or broker-dealer compliance experience within asset management or compliance consulting environments.
• Industry Knowledge: Working knowledge of U.S. securities regulations and investment adviser compliance, with experience supporting surveillance and Code of Ethics programs.
• Technical Skills: Experience working with compliance surveillance systems and regulatory reporting tools, with Global Relay experience preferred.
• Skills & Attributes: Highly analytical, detail-oriented professional with strong communication skills, high integrity, and the ability to manage multiple priorities.

Application Notice: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, Atlantic Group will keep your resume on file for future opportunities and may contact you for further discussion.

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