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Atlantic Group · 7 hours ago

Compliance Analyst (Investment Management)

New York, NY

Full-time

Hybrid

Entry, Mid Level

$85K/yr - $105K/yr

1+ years exp

Atlantic Group is hiring a Compliance Analyst (Investment Management) in New York, NY for their client, focusing on investment advisory compliance and regulatory requirements. This role involves monitoring compliance programs, providing guidance on policies, and preparing regulatory filings while working closely with various teams.

B2BHuman ResourcesStaffing Agency

Growth Opportunities

Responsibilities

Surveillance & Monitoring: Review and analyze trade, communications, and employee surveillance reports to identify, investigate, and escalate potential compliance issues

Policy Guidance & Issue Resolution: Provide day-to-day compliance guidance on the Code of Ethics, AML policies, restricted lists, outside activities, and gifts and entertainment matters

Regulatory Filings & Exams: Prepare and submit regulatory filings including Forms 13G and 13D and support regulatory examinations, inquiries, and investigations

Communications Surveillance: Conduct email and electronic communications monitoring, with experience using surveillance and archiving systems preferred

Policies, Training & Improvement: Support compliance testing, deliver training, maintain policies and procedures, and partner with Technology to enhance compliance systems and workflows

Qualification

Investment advisory complianceU.S. securities regulationsCompliance surveillance systemsRegulatory reporting toolsHighly analyticalHigh integrityManage prioritiesCommunication skillsDetail-oriented