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Atlantic Group · 10 hours ago

Investment Guideline Compliance Analyst

New York, NY

Full-time

Hybrid

Entry Level

$80K/yr - $90K/yr

1+ years exp

Atlantic Group is hiring an Investment Guideline Compliance Analyst in New York, NY, to support pre- and post-trade monitoring, guideline coding, regulatory reporting, and compliance oversight. This hybrid role requires collaboration with portfolio managers, trading, legal, and operations teams to ensure guideline adherence.

B2BHuman ResourcesStaffing Agency

Growth Opportunities

Responsibilities

Conduct daily investment guideline surveillance, review alerts and exceptions, and ensure orders adhere to client and fund mandate requirements

Code and maintain investment guidelines in Charles River (CRIMS), test updates, and partner with technology and operations on system enhancements

Collaborate with trading and operations teams to resolve alerts, support order processing, address ad-hoc trade questions, and escalate post-trade breaches with recommended corrective action

Review cross-trade requests, maintain restricted lists, and deliver periodic compliance reporting to internal teams and clients

Participate in forensic testing, annual reviews, mock SEC exams, chaperone expert network calls, and contribute to special projects that strengthen compliance processes

Qualification

Investment guideline complianceCharles River (CRIMS)ExcelBloombergAnalytical skillsHighly organizedCommunication skillsDetail-orientedSelf-starter

Required

Bachelor's degree in Finance, Economics, Math, Business, or a related analytical field required

1-2 years of investment guideline or compliance experience in asset management, hedge funds, trading, or broker-dealer environments with exposure to rule coding or trade monitoring

Understanding of investment guideline frameworks, pre-/post-trade compliance, restricted lists, cross-trades, and SEC-related compliance workflows

Highly organized, detail-oriented self-starter with strong analytical and communication skills who thrives in a fast-paced environment