Senior Compliance Analyst; Investment Management

• Location:
  
  New York, NY
• Type:
  Perm (Contingency)
• Job #48184
• Salary: $115,000

Compensation: $115,000 – $130,000/year + bonus.

Location:

New York, NY.

Schedule:

Monday to Friday (Hybrid).

Atlantic Group is hiring a Senior Compliance Analyst (Investment Management) in New York, NY for our client, supporting surveillance, regulatory reporting, and compliance testing across a multi-asset investment platform. In this hybrid role, you will monitor trading and communications activity, manage regulatory filings, and partner with business and technology teams to enhance compliance controls while leveraging tools such as Global Relay and compliance monitoring systems.

• Surveillance & Monitoring:
  Review surveillance reports and electronic communications to identify and address potential compliance issues.
• Policy Guidance:
  Advise business units on Code of Ethics, restricted lists, AML, outside activities, and gifts and entertainment policies.
• Regulatory Filings:
  Prepare and submit required regulatory filings and disclosures.
• Compliance Testing & Exams:
  Support compliance testing programs and assist with regulatory examinations and inquiries.
• Training & Program Support:
  Deliver compliance training and assist with policy updates, approvals, and program enhancements.

• Education:
  
  Bachelor’s degree in Finance, Accounting, Business, Legal Studies, or related field required.
• Experience:
  
  5-8 years of investment adviser or broker-dealer compliance experience within an asset manager, hedge fund, private equity firm, or consulting firm.
• Industry Knowledge:
  Strong understanding of the Investment Advisers Act of 1940, Exchange Act reporting, FINRA rules, and core compliance program requirements.
• Product Knowledge:
  Experience with equity and fixed-income securities required, with exposure to derivatives, futures, commodities, or FX products preferred.
• Technical
  
  Skills:
  
  Experience with Global Relay or similar eComms surveillance platforms and compliance monitoring tools required.
• Skills & Attributes:
  Highly analytical professional with strong attention to detail, excellent communication skills, high integrity, and the ability to manage multiple priorities in a fast-paced environment.

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.