Compliance Analyst

http://www.robertwalters-usa.com/banking-financial-services/jobs/compliance/755064-compliance-analyst.html?utm_source=Indeed&utm_medium=organic&utm_campaign=Indeed

Salary: $60k - $80k per annum
Location: United States: New York 
Duration: Perm
Consultant: Adrian Morrissey
JobRef: 161130-1
Date Posted: August 20, 2014

A New-York based hedge fund with $2 billion in AUM managing a family of long/short hedge funds, long only fund, and private equity funds focused on the health care and life science sectors are seeking a compliance analyst to join their firm to assist the GC/CCO with all compliance related matters.


Key Deliverables:

• Liaise with General Counsel and Chief Compliance Officer to administer and implement policies and procedures
• Preparation of domestic and foreign filings (SEC filings such as Form ADV, Blue Sky, International short notification filings, etc…)
• Update the Compliance Manual and Code of Ethics and conduct compliance testing related to ensuring compliance with the Firms’ policies and procedures
• Review employee e-mails, employee personal trading and brokerage accounts (and administration of automated compliance system)
• Train new and current employees on industry rules and the Firm’s compliance with particular areas that relate to their roles; act as contact person for all employees regarding compliance issues
• Proactively do checks on trading activity and research/emails immediately following M&A announcements
• Monitor calls and meetings with consultants in Expert Networks and otherwise
• Proactively spot check and review fund research notes posted in the firm’s research management database
• Administer compliance aspects of onboarding Vendors who provide research, consulting, brokerage and other services
• Coordinate research brokerage survey/commission allocation (2x per year) and monitor best execution; coordinate soft dollar services survey (2x per year)
• Assist GC with Eze Compliance automated pre and post-trade rules engine
• Monitor trade activity for deviation from Funds’ allocation and investment policies
• Maintain the Firm’s restricted list and watch list to ensure compliance with insider trading laws
• Review all marketing documents (pitch books, tear sheets, DDQs, presentations, etc.)


Desired Skills:
• No JDs [Ed.: As pointed out on JDU, "'No JDs' is the very first bullet under 'desired skills.' In other words, the thing we want most in the world is for you NOT to have gone to law school."]
• At least 2 years of relevant compliance experience at a hedge fund or registered investment advisor
• Previously worked in compliance at a large sell side firm, particularly dealing with prop traders, securities division, or investment research

This hedge fund is seeking a Compliance Analyst to assist with all aspects of regulatory and compliance for the firm and he/she will report directly to the General Counsel and Chief Compliance Officer.
If you would like to apply for this role or find out more, please apply online or contact Adrian Morrissey at Robert Walters on adrian.morrissey@robertwalters.com or call +1 212 704 9900 quoting the reference 161130.