Investment Compliance Analyst

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