Investment Management Client

Office Status: Hybrid

Assist in the Firm’s global compliance program, records, and systems, which include regulatory filings, examinations, investigations, regulatory inquiries, audits, and inspections
Manage the Firm’s code of ethics/personal trading policies utilizing compliance software
Liaise with employees to ensure all necessary personal trading information is provided to the Firm to enable trade monitoring in accordance with regulatory requirements
Coordinate the personal trading program including personal trade disclosures, pre-approval requests and reconciliation
Coordinate the Firm’s compliance certification program
Assist in the preparation, delivery, and tracking of relevant compliance trainings
Assist in the development of controls and system enhancements to improve the Firm’s compliance program
Assist with the internal compliance projects, such as preparing metrics of department projects and trend analysis
Undertake ad-hoc compliance-related projects, as assigned

1-3 years’ experience in financial services back-office functions, ideally Hedge Fund and Private Equity regulatory compliance experience, although will consider accounting, investor services, policy, audit or similar process-driven and detail-oriented experience in financial services
Bachelor’s degree from an accredited university or college with a strong academic record
Must have outstanding attention to detail and organization skills, possess the ability to spot issues, and respond timely
Outstanding verbal and written communication skills, with poise and confidence to interact with internal clients at all levels
Ability to work on tasks independently and escalate issues as they arise
Ability to pivot between work comfortably and navigate ambiguous or “gray” areas and learn skills
Ability to get up to speed quickly on problems, shift gears and prioritize multiple topics and timelines concurrently
Good team player with a willingness to participate and help others as well as able to work independently
Ability to prioritize in a fast paced, high pressure, constantly evolving environment; strong sense of urgency and ownership
Ability to learn and develop ownership of systems
Strong Microsoft Word, PowerPoint and Excel skills