Analyst, Compliance

3 weeks ago

Conshohocken, United States Hamilton Lane Full time

Hamilton Lane is looking to expand our team to satisfy the needs of our growing client base. Hamilton Lane is built on collaboration, teamwork and integrity. Our employees pursue excellence and always strive to do the right thing. We invest in our employees, clients and partner relationships, as well as, in the technology and resources necessary to remain competitive, working in a competitive environment that inspires innovation.

The ideal candidate should have an interest in learning the daily compliance functions of an SEC-registered investment adviser. This position will report to our Director of Compliance.

ESSENTIAL DUTIES AND RESPONSIBILITIES:
•Track Code of Ethics reviews and certifications using online system.
•Creating, testing and revising procedures.
•Researching & verifying performance analysis.
•Assist in preparing regulatory reporting, foreign licensing and application filings.
•Assist in preparing for SEC examinations.
•Coordinating with internal groups in the collection of audit requests.
•Tracking internal deliverables and associated follow up.
•Various ad hoc projects as requested.

NECESSARY QUALIFICATIONS:
Education and/or Experience:
•0-2 years of experience in similar position
•BA/BS, or equivalent combination of training and experience.
•Understanding of investment adviser/financial services industry, ideally with a focus on private equity.
•Proven communication and analytical skills.
•Proficient with Microsoft Office applications.
•Must be proactive, self-starter and able to interact with people who have varied personalities and work styles.

We offer a competitive salary, annual discretionary bonus and a comprehensive benefits package which includes: Medical, Prescription, Dental, Paid Time Off, 401k plan, Life and Disability Insurances, Tuition Reimbursement, Employee Stock Purchase Program, Health Club Reimbursement and Flexible Spending Accounts.

Hamilton Lane is an affirmative action-equal opportunity employer. All qualified applicants will be considered for employment without regard to their race, color, creed, religion, sex, pregnancy, national origin, ancestry, citizenship status, age, marital or partnership status, sexual orientation, gender identity or expression, disability, genetic predisposition, veteran or military status, status as a victim of domestic violence, a sex offense or stalking, or any other classification prohibited by applicable law.

As a registered investment adviser, employees of Hamilton Lane may be subject to certain limitations on political contribution and personal investment activities.

If you need a reasonable accommodation to complete your application, please contact Human Resources at humanresources@hamiltonlane.com.

Please note that in the event that you are hired by Hamilton Lane, you, your spouse or any other dependent family member living in your household will need to comply with Hamilton Lane's Personal Securities Transactions Policy and the trade pre-clearance process per Hamilton Lane's Code of Ethics. It is your responsibility to ensure that you and your household members are able to comply with this policy. Examples of the restrictions that could be placed on your activities include, but are not limited to, a requirement to pre-clear all transactions prior to execution, the inability to transact in certain securities or classes of securities and other restrictions. A copy of our Code of Ethics is available upon request. Please note that having a personal trading account will not prohibit you from being employed by Hamilton Lane.

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