Compliance Associate/Analyst
Company Description
A leading global investment firm is seeking an Analyst/Associate to join the Compliance team in the New York office. This is a generalist compliance position that will support all aspects of the firm’s businesses. The candidate must have very strong communication skills, be comfortable working on multiple projects with varying degrees of complexity, duration, and teams concurrently and a self-starter and able to work with minimal supervision.
Responsibilities
- Be knowledgeable about material, non-public information and restricted list implications
- Become knowledgeable with respect to a complex set of business strategies, funds, and fund guidelines
- Able to interface directly with Investment Professionals in a fast-paced environment
- Knowledgeable about AML/KYC
- Able to conduct routine, targeted, and ad hoc testing/surveillance
- Provide support to members of the compliance group as required
- Other duties as assigned
Candidate Profile
- Bachelor’s Degree
- 2-5 years of work experience in the financial services industry
- Excellent written and verbal communication skills
- Strong technical and analytical skills
The SR Group (US), Inc. is acting as an Employment Agency in relation to this vacancy.
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