Compliance Analyst

2 weeks ago


New York, New York, United States Michael Page Full time

About Our Client

Client is a well-established, profitable, Registered Investment Advisor and Asset Manager with a global pressence.

Job Description

Comprehensive knowledge of US and Canadian laws, regulations, and governance, especially as they pertain to private fund advisers.Experienced in monitoring, reporting, and implementing regulations in business practices, including: Enforcing a Code of Ethics for personal trading, market abuse, gifts and entertainment, and political contributions.Reviewing electronic communications.Assessing marketing materials.Adequate understanding of the private funds sector, broker-dealers, or related industries.Excellent writing skills with a strong attention to detail.Join and enhance a global team, with effective communication skills across different jurisdictions.Experience in AML is advantageous.Skilled in Microsoft Excel with the capability to manipulate data effectively.Familiar with using FINRA Gateway and IARD, and experienced in preparing regulatory filings such as U4s, Form ADV, Form PF, FRB forms, Form Ds, etc.

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.

The Successful Applicant

1-3 years of regulatory compliance experience, preferably with an SEC-registered investment adviser or FINRA broker-dealer.Strong understanding of investments, financial markets, and financial products.Tertiary qualifications in law, commerce, economics, finance, or a related field.Series 7 and 24 licenses are a plus.CAMS certification is a plus.

What's on Offer

A collaborative and inclusive work environment with fantastic benefits, learning opportunties, and growth potential.


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