Ariel Alternatives · 2 days ago

Compliance Analyst

NYC Metro Area

Full-time

Onsite

Mid, Senior Level

5+ years exp

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Asset ManagementImpact Investing

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Responsibilities

Work with Chief Compliance Officer to maintain the firm’s compliance program, including assisting in revising and updating Compliance Manual, Code of Ethics, and other documents

Assist in developing compliance testing plans based on regulatory requirements and industry best practices

Conduct compliance testing and monitoring activities to assess the effectiveness of internal controls and procedures

Prepare comprehensive reports summarizing testing results, findings, and remediation

Assist in the development of compliance training programs for employees to promote a culture of compliance and awareness

Collaborate with cross-functional teams to implement and enhance compliance testing procedures and training

Research, analyze, and draft memos

Assist with regulatory filings, including Forms ADV and PF

Maintain compliance books and records

Be involved in special projects as needed

Qualification

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ComplianceRisk ManagementFinancial Services IndustryPrivate EquityFederal Securities LawsInvestment Advisers ActInvestment Company ActSecurities Exchange ActSEC RegulationsAML/KYC RequirementsCompliance TestingRisk AssessmentsInternal AuditsHighly MotivatedDetail-OrientedCollaborativeHighly OrganizedMulti-Tasking CommunicationInterpersonal Skills

Required

Highly motivated, detail-oriented, and collaborative

Minimum of 5 years of experience in compliance and/or risk management within the financial services industry, with specific experience in private equity preferred

General working knowledge of relevant federal securities laws and associated rules (e.g., Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Exchange Act of 1934)

Undergraduate degree required

Strong understanding of relevant regulations and compliance frameworks, such as SEC regulations and AML/KYC requirements

Demonstrated experience in conducting compliance testing, risk assessments, and internal audits

Highly organized individual who can multi-task in a fast-paced environment and meet deadlines in an accurate manner

Excellent communication and interpersonal skills required