We are currently seeking an experienced and highly motivated individual to join an impressive Investment Mangament firm's compliance team as a Senior Compliance Analyst. The position is a permanent role, reporting to the current Chief Compliance Officer, and has the potential to be the successor.
Responsibilities:
- Develop policies that align with current regulations and industry standards while keeping up-to-date knowledge on emerging trends across all relevant jurisdictions
- Responsible for addressing any/all trade errors
- Ensuring follow ups on mutual funds
- Writing, reviewing, and submitting private fund and annual return documents
- Reviewing tax forms with assistance from compliance consultant
- Ensure adherence by conducting regular assessments through risk-based testing procedures including reviewing documents like Form ADV or marketing material prepared by third parties
Qualifications:
- Experience on investment advisory side
- Knowledgeable about regulatory compliance requirements within mutual funds, alternative investments and private equity space.
- Has experience advising clients from various backgrounds about compliance risks, operational processes around corporate governance matters affecting their businesses
- Strong analytical skills
- Excellent communication abilities (verbal & written)
- 3-8 Years of compliance experience (private equity space prefered)
This is a hybrid position with a salary range of $110,000-$125,000 dependant upon experience.
