Investment Compliance Analyst

2 weeks ago

New York, New York, United States Quantbot Technologies LP Full time

Quantbot Technologies LP is in search of a diligent, detail-oriented, and proactive individual to enhance our compliance team within our expanding investment advisory firm.

Key Responsibilities:

The selected candidate will be tasked with preparing regulatory submissions, collaborating with compliance personnel to support various business divisions, designing and reviewing automated compliance monitoring reports, and ensuring strict adherence to compliance policies. Additionally, the role involves engaging in long-term projects aimed at upholding the firm's high compliance standards in line with both new and existing regulations. Regular collaboration with the Chief Compliance Officer (CCO) will be essential in developing and implementing policies and procedures for a registered investment adviser, with a focus on the Investment Advisers Act, the Investment Company Act, FINRA, and associated rules and regulations. Specific duties include:

  • Assisting in the review of standard materials, including promotional content, sales literature, correspondence, and RFP/RFI/DDQs.
  • Supporting the annual review and amendments to Form ADV and other relevant regulatory reporting obligations.
  • Contributing to the development and delivery of training and education for staff regarding policies and procedures and any updates.
  • Managing and monitoring electronic communications to ensure compliance with regulatory standards.
  • Staying informed about regulatory changes and advising the CCO on recommended adjustments to business practices.
  • Possessing a strong understanding of the regulatory landscape, including the latest developments and trends.

Qualifications:

  • A bachelor's degree or higher in Finance or a related field is mandatory.
  • Exceptional analytical skills, drafting and verbal communication abilities, along with strong numeracy.
  • A minimum of 2 years of experience in a similar capacity within the financial services sector, ideally within an investment advisory firm, hedge fund, or compliance consultancy.
  • Demonstrated experience in preparing and submitting regulatory reports.
  • High proficiency in Google Suite (particularly Gmail, Calendar, GDocs, and GSheets) and Microsoft Office (Word, Excel, PowerPoint).
  • Exemplary integrity and discretion in managing confidential information.
  • Capability to handle multiple projects concurrently.
  • Timely completion of tasks.
  • Outstanding organizational skills and meticulous attention to detail.

Benefits:

  • Potential for hybrid work arrangements.
  • Eligibility for discretionary annual bonuses.
  • Medical, Dental, and Vision coverage.
  • Short-term and Long-term Disability, Life Insurance options.
  • 401(k) plan with company matching.
  • 25 days of paid time off and 9 paid holidays.
  • Complimentary catered lunch every Friday.
  • Access to concierge doctor services for full-time employees.
  • Casual work environment.

Job Type: Full-time

Compensation: $100,000.00 - $130,000.00 per year

Schedule:

  • Monday to Friday

Education Requirement:

  • Bachelor's degree (Required)

Work Location: In-person

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