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Northbound Executive Search · 5 days ago

PORTFOLIO OPERATIONS COMPLIANCE ANALYST

New York, NY

Full-time

Onsite

Entry, Mid Level

$135K/yr - $150K/yr

2+ years exp

Northbound Executive Search is representing a well-established financial services firm seeking a Compliance Analyst to join their growing team. The role involves providing oversight and monitoring to the Firm’s trading platform and activities, including pre-trade compliance controls and assisting in onboarding new client accounts.

RecruitingStaffing Agency

Growth Opportunities

Hiring Manager

James Carroll

Responsibilities

Facilitate pre-trade compliance controls and analysis—including management of the Firm’s security master and sensitive data points

Perform due diligence on new and ongoing counterparties

Participate in Daily Trade Review

Oversee review of re-allocations, best execution activity and trade overrides

Build out oversight controls, as necessary, and developing a subject-matter expertise to effectively identify and address any oversight gaps relating to the Firms trading activity

Assist in identification and remediation of trade and operational-related trade errors and issues

Provide assistance in onboarding new client accounts

Management of Portfolio and Client Restricted Lists (i.e. affiliated investments)

Manage the execution of the Firm’s Proxy Voting

Assist with management of Certifications (“CERTS”) process in Firm’s proprietary workflow tool

Play a key role in the identification and implementation of technical solutions that drive efficiency and increase oversight of ever-growing business

Participate in regulatory / industry initiatives relating to new regulations and other issues relevant to the asset management business, coordinating with the wider Legal/Compliance team

Assist with drafting policies and procedures relevant to supporting the business

Qualification

Regulatory complianceProject managementAttention to detailMicrosoft OfficeTechnical solutionsCuriosityInterpersonal skillsEffective communicationSelf-starter

Required

Minimum of 2-5 years of strong trading desk / front office regulatory compliance gained within a credit asset management environment

Enthusiasm, motivation, curiosity and the ability to be proactive

Solution-oriented self-starter with high integrity

Strong project-management skills

Consistent attention to detail; acts professionally regarding sensitive subjects and maintains confidentiality while exercising discretion at all times

Sound interpersonal skills and relationship building abilities

Effective communication skills including strong written communication skills for report writing and analysis

Proven ability to manage multiple demands and projects in a fast-paced work environment, including ability to prioritize time efficiently and handle heavy workloads while remaining attentive to detail

Advanced computer literacy including Microsoft Office (PowerPoint and Excel)

Good with technology and an interest in learning new systems. Ability to communicate complex systems in a digestible manner