Compliance Analyst
$65k - $70kSocial Capital Resources
Base pay range $65,000.00/yr - $70,000.00/yr Investment Management Firm in Midtown, Manhattan is seeking a Compliance Analyst for a full-time position! Responsibilities Assist with oversight of sub-advisers, third-party vendors and service providers Assist with fund launches, product lifecycle events across ETFs, UCITS and private funds Assist in preparing or reviewing DDQs, fund registration documents, website postings Coordinate cross-listings, market openings and registrations across exchanges and regulators Assist in the execution and documentation of the firm’s compliance testing and monitoring program Support maintenance of compliance manuals, policy reviews and calendars Help prepare and track regulatory filings (e.g., Form ADV, Form PF, UCITS filings, etc.) Code of Ethics compliance monitoring, including approving / denying requests for personal trading, outside business activities, personal investments Qualifications Bachelor's Degree 1-3 years of experience in fund operations, middle or back office or fund compliance Strong Excel skills and data experience Proven ability to manage multiple priorities in a deadline-driven environment Knowledge of the Investment Adviser Act, Investment Company Act of 1940 and/or UCITS preferred Seniority level Associate Employment type Full-time Job function Finance Industries Investment Management #J-18808-Ljbffr Social Capital Resources
Vacancy posted 3 days ago
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