Compliance Analyst

Our client is a ~$15 billion global diversified alternative asset management firm with more than two decades delivering competitive risk-adjusted returns and innovative solutions to investors. They are currently seeking a Compliance Analyst with familiarity working for a registered investment adviser, commodity pool operator, or a commodity trading adviser to join their compliance team.

Responsibilities:• Assist in implementing and administering the ongoing oversight of the compliance program as required by Rule 206(4)-7 of the Investment Advisers Act of 1940 and other applicable regulatory obligations. • Assist in maintaining supervisory policies and procedures designed to prevent violations of federal securities laws, including but not limited to, the Code of Ethics and policies related to personal trading, insider trading, gifts and entertainment, political contribution/pay-to-play, electronic communications, and the FCPA.• Work with the compliance team and external partners to ensure timely and accurate regulatory reporting (e.g., Form ADV, Form PF, Reg D/state blue sky filings, CPO-PQR, CTA-PR, etc.)• Support compliance review and approval of requests related to various policies and procedures (e.g., personal trading policies restricted list maintenance, gifts and entertainment, political contributions/pay-to play, outside business activities, trade surveillance, research vendor governance, electronic communications reviews, etc.)• Support review of promotional and marketing materials, including RFPs and pitchbooks pursuant to SEC and other applicable regulations.• Support compliance training programs and initiatives.• Collaborate with other compliance members on a variety of projects, including but not limited to, forensic testing aimed at assessing the adequacy and adherence of the firm’s policies and procedures. • Participate in the research, interpretation and implementation of compliance processes associated with the firm’s regulatory requirements and industry best practices, including engaging other internal stakeholders in their support of the same.• Support compliance team members as back up for other designated responsibilities to ensure coverage during out of office or high work volumes.

Qualifications:• Bachelor’s Degree required. Finance, Accounting, Business or related degree (or equivalent compliance, legal or investment related experience) preferred.• Approximately 3+ years prior work experience at an investment advisory firm/hedge fund; or experience at a financial services’ regulatory authority and/or regulatory practice at a major consulting or law firm. • Strong problem solving and analytical skills with high attention to detail.• Outstanding organizational skills and ability to fulfill deadlines.• A proven ability to multi-task and work both independently and as a team player in a fast-paced, demanding environment.• Effective communication skills and ability to establish and maintain strong working relationships with a wide array of team members such as peers, business units, leaders, etc while maintaining a strong compliance culture.• Self-starter with ability to work well independently and proactively offer solutions to obstacles or conflicts with a “no task is too small” attitude.• Committed to maintaining high ethical standards.