Hedge Fund Compliance Analyst

Our client, a successful and growing asset management firm, is seeking an experienced Compliance Analyst.  This position will be responsible for providing general compliance support as a member of a three person Compliance Department. 

 

Responsibilities Include:

· Review firm trading activity on a daily basis

· Maintain restricted securities list

· Follow up, resolve and escalate Bloomberg pre- and post-trade violation notices

· Monitor code of ethics compliance

· Review, log and file employee brokerage statements and trade confirmations for accounts with brokers that do not provide electronic feeds

· Handle employee pre-trade requests

· Distribute, collect and follow up on initial quarterly and annual code of ethics reports and certifications

· Issue 407 letters and follow up as needed

· Maintain access persons list under code of ethics

· Conduct new employee code of ethics training

· Assist in developing and implementing AML compliance monitoring

· Assist with general compliance file maintenance and recordkeeping

· Assist with other compliance monitoring and testing and preparation of compliance reports

 

Qualifications Include:

· Bachelor’s degree from a top tier University; GPA 3.3 or higher

· Minimum of 2 years of experience in compliance in the financial services industry

· Proficient in Microsoft Word, Excel and Outlook and comfortable working in portfolio accounting and front-end trading systems from a user standpoint

· Excellent communication and organizational skills 

· Experience with Sungard’s PTA system preferred but not required.

 

Our client is looking to hire as soon as possible.  Compensation is a competitive base plus bonus and excellent benefits.  Local candidates preferred, client will not relocate.  Please submit your Word resume - only qualified candidates will be contacted.