Job description
Job Description
We're working with a leading global alternative investment firm to add an Investment Compliance Analyst to the New York team.
The position will support the firm's information-barrier and conflicts framework, including MNPI controls, watch and restricted lists, trade surveillance and employee compliance. It offers regular interaction with investment professionals, Legal and Compliance teams across a global business.
Key Responsibilities
- Identify, escalate and help manage potential conflicts of interest
- Maintain watch and restricted lists
- Support MNPI controls, wall-crossings and information barriers
- Review employee trading, private investments and outside business activities
- Conduct trade and electronic communications surveillance
- Implement and monitor temporary information barriers
- Coordinate with investment teams, Legal, Compliance and external counsel
- Review and process firm trade requests
- Support related policies, systems and compliance projects
Requirements
- 1 - 3 years of relevant financial-services compliance experience
- Experience in investment compliance, surveillance, control room, employee compliance, conflicts or a related area
- Familiarity with MNPI, information barriers, watch and restricted lists, or personal trading
- Knowledge of the Investment Advisers Act and relevant SEC or FINRA requirements is advantageous
- Strong judgment and the confidence to identify and escalate potential issues
- Excellent organization, attention to detail and communication skills
- Able to manage competing priorities and deadlines in a fast-paced environment
- SIE or FINRA qualifications helpful; sponsorship is available where required
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