Compliance Analyst

$50-70k plus bonus

Analyst or Associate to work closely with Discretionary Managers and their respective Teams, Branch Management, Legal and Compliance personnel in performing various surveillance functions including monitoring adherence to stated guidelines and performance analysis.   This process is integral to properly manage the risks associated with discretionary management of client assets. This position will be based in New York.

Responsibilities include:

Assume responsibility for Discretionary Management Account Oversight to ensure adherence to program guidelines along with Firm and regulatory rules and regulations.    Work closely with Sales Teams and Branch Management in resolving and correcting any violations or issues that may arise.      Perform ongoing surveillance and review using various outliers and performance reports to detect any systemic issues and implement any preventive measures necessary to mitigate potential risks relating to account management.

Skills Required:

Minimum BA or BS; Knowledge of Investment Advisory Rules and Regulations and general Compliance rules is helpful as well as general understanding of asset management.Minimum two or three years relevant work experience; Excellent verbal and written communication skills, quantitative skills, and entrepreneurial orientation; Strong organizational and analytical skills; Self-motivated with effective interpersonal skills; Team orientation; A working knowledge of spreadsheet, word processing applications.  Attention to detail is essential.

Undergraduate Degree Required


For more info call Bernard at 212-385-0717

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