Personal Trading Compliance Analyst

Full Time

Investment Management Client

Office Status: Hybrid

Principal Responsibilities

  • 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

Qualifications/Skills Required

  • 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
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