Compliance Analyst Responsibilities:
- Manage day-to-day Compliance operations for the US office.
- Assist with Compliance Monitoring for the Central Monitoring team in London.
- Provide guidance on pre and post-trade Investment Compliance queries.
- Support US and Canadian regulatory filings.
- Collaborate with the broader Compliance team on various Compliance matters.
- Advise on existing US regulations and implement new ones.
- Draft, review, and maintain policies.
- Assist in AML/KYC reviews.
- Opportunity for training in the London office.
- Potential to obtain FINRA licensing and serve as an onsite Supervisory Principal.
Compliance Analyst Qualifications:
- Understanding of SEC rules related to the 1940 Act and regulatory filings.
- Familiarity with SEC marketing rules and review processes.
- 1-4 years of experience in compliance, operations, or related financial services.
- Bachelor's degree from an accredited university or equivalent.
Desired, but not essential:
- Interest in obtaining FINRA licensing (Series 7 and 24).
- Understanding of various investment vehicle types.
- Experience with equity strategies and ERISA Compliance.
- Familiarity with Investment Compliance and guideline monitoring
