Asset Management Compliance Analyst

Overview

• Contribute to the compliance monitoring and testing program for the firm's advisers and funds.
• Perform portfolio and trade surveillance ensuring adherence to client guidelines and regulatory requirements.
• Assist with mutual fund trade restrictions, guidelines, and compliance monitoring activities.
• Support broker-dealer administration, FINRA filings, and Code of Ethics administration.
• Prepare compliance reports and certifications for assigned accounts.
• Interact with portfolio managers in a dynamic trading environment.
• Contribute to Form ADV updates and trade cost analysis reporting.
• Participate in ad hoc projects supporting the Compliance Department's objectives.

Key Responsibilities & Duties

• Conduct transactional, forensic testing, and compliance reviews for adviser and fund portfolios.
• Manage post-trade compliance program at fund administrator and update compliance testing matrices.
• Research and document exceptions, communicating findings to compliance leadership.
• Develop and manage testing in compliance areas including insider trading surveillance and market manipulation.
• Collect, review, and organize information to support test results and suggest new tests.
• Assist in answering sub-advised clients’ DDQs and respond to compliance inquiries.
• Collaborate with internal and external contacts using discretion and good judgment.
• Maintain accuracy and minimize risk while managing high volumes of work under tight deadlines.

Job Requirements

• Bachelor’s Degree in a relevant field is required.
• 0-3 years of experience in compliance or related functions preferred.
• Knowledge of investment adviser and mutual fund industry compliance monitoring and risk management.
• Familiarity with regulatory requirements for the Financial Services industry.
• Proficiency in Microsoft Office and excellent analytical and research skills.
• Ability to manage multiple responsibilities and adapt to changes effectively.
• Strong written and verbal communication skills.
• Experience in team-oriented environments and ability to prioritize workloads.