Location: Midtown NYC
Compensation: $100k-$140k base + bonus
JOB FUNCTION
The Legal and Compliance Analyst will work closely with other members of the Legal and Compliance Department and other departments throughout the firm on a wide spectrum of issues and initiatives.
Responsibilities:
- Play a key role in the day-to-day administration and continuous improvement of the firm s compliance program in a rapidly changing regulatory environment.
- Use the latest RegTech to propose, build and execute on compliance processes to achieve scale.
- Monitor and understand regulatory, compliance and legal developments affecting the firm.
- Train and educate employees on compliance matters.
- Assist in the performance of testing for compliance with the firm s policies and procedures, incorporating technology and analytics where appropriate.
- Organize, maintain, and produce compliance recordkeeping.
- Assist with regulatory filings in various jurisdictions internationally.
- Perform due diligence of research providers, consultants, and counterparties.
- Assist with managing the process of periodically updating the firm s compliance manual, Code of Ethics, and investor due diligence documents.
QUALIFICATIONS
- Bachelor s degree from a highly regarded college or university; candidate should have accumulated an outstanding academic record.
- 2+ years of experience in a compliance role, such as private fund/broker-dealer compliance or compliance consulting.
- A professional license such as a CPA or a FINRA license would be viewed favorably, but is not required.
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