Compliance Analyst
📋 Role Overview & Responsibilities
Key ResponsibilitiesAssist in the drafting, implementation, and enhancement of all legal and compliance policies and procedures.Provide support across a variety of compliance initiatives including: Code of Ethics, regulatory filings, cybersecurity compliance, electronic communication surveillance, trade surveillance, vendor due diligence, following up on compliance attestations, and updating compliance procedures as needed, in conjunction with the Chief Compliance Officer.Develop proficiency with compliance tools and software such as Bloomberg Vault, ComplySci, FundApps, and OneTick.Collaborate and engage with internal stakeholders to address compliance issues and mitigate risks.Stay informed of ongoing regulatory developments and industry trends that are relevant to the team.
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This position is located in New York City Metropolitan Area with potential relocation and sponsorship assistance depending on candidate qualifications.
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