Compliance Analyst

Hudson Gate Partners - New York City, NY


Boutique hedge fund is seeking a Compliance Analyst to join their team.

Responsibilities :

  • Tracking and reconciling employee personal trading and conflicts of interest
  • Tracking gifts and entertainment and political contributions
  • Coordinating compliance review of all marketing materials
  • Coordinating general code of ethics compliance matters
  • Assisting with document gathering and discovery for various regulatory and compliance audits
  • Assisting with document editing, preparation and maintenance Maintain all files for compliance department (scanning, filing, organizing)
  • Assist in preparation of committee meeting agendas and materials
  • Schedule internal and external meetings and manage the compliance team calendar and coordinate travel arrangements when necessary
  • Other ad hoc projects and project management as necessary for the team

Qualifications:

  • Minimum 2 years of experience in a compliance-related role at a financial services firm; preference for hedge fund, asset management or broker-dealer experience
  • Bachelor’s degree (required)
  • General knowledge of financial services – hedge fund or asset management knowledge preferred

 

Compensation: $70-90k DOE, plus bonus

 

 



Posted On: Monday, November 26, 2018



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