About this opportunity
Atlantic Group lists this Compliance Analyst opportunity in new york, New York. Review the employer’s description below for duties, qualifications and application requirements.
Job description
Title: Compliance Analyst - Code of Ethics
Location: Midtown Manhattan (onsite 3 days/week)
Compensation:
$90K-$110K base + bonus
Apply below after reading through all the details and supporting information regarding this job opportunity.
This role supports the Code of Ethics program of a $12B+ hedge fund in Midtown Manhattan.
Responsibilities:
Coordinate ethics-related onboarding activities, including new-hire training and validation of employee brokerage and investment disclosures through the designated compliance platform
Advise personnel on internal compliance requirements, policy interpretation, and appropriate procedures under the firm's conduct standards
Investigate potential policy breaches, document findings, and escalate concerns to senior compliance leadership when appropriate
Execute targeted testing and surveillance procedures to evaluate program effectiveness, and compile recurring employee trading analyses for management review
Recommend enhancements to the organization's ethics framework and supporting compliance policies in response to regulatory developments and industry practices
Identify ways to strengthen program oversight and operational efficiency through process improvements and emerging technology solutions
Assess adherence xhmxlyz to global standards across regional offices, coordinate with international stakeholders, and communicate significant observations to senior compliance personnel
Manage assigned components of the quarterly employee compliance attestation and certification process
Qualifications:
1-3 years of compliance experience at a compliance consulting firm or RIA
Worksite address
new york, NY, 10261, US
Who can apply
Review the original listing for work authorization, qualifications and employer requirements.