Compliance Analyst
COMPANY OVERVIEW
Our client is a well-established financial services firm seeking a compliance individual to join their growing team. This position is starting on a temporary basis and has no set end date at this time.
POSITION SUMMARY
We are seeking a Compliance Analyst to be based in New York. This is a unique opportunity to join a ‘best-in-class’ compliance and work closely with the Credit Compliance team to provide oversight and monitoring to the Firm’s trading platform and activities.
TRADE CONTROLS
- 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.
PORTFOLIO COMPLIANCE
- 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.
GENERAL
- 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.
KEY EXPERIENCE AND ATTRIBUTES
- Minimum of 2-5 years of strong trading desk / front office regulatory compliance gained within a credit asset management environment.
- Legal experience / background useful but not essential.
- 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.
