Compliance Analyst
Core
Support the Firm's global compliance program, records, and systems including regulatory filings, examinations, investigations, and audits.
Role type
Compliance Analyst
Builds
Compliance program, records, and systems
Domain
Financial services / Regulatory compliance
Deliverable
dashboards & analysis
Required skills
Regulatory compliance experience, attention to detail, organizational skills, trade monitoring, compliance certification management, training delivery, controls development
Preferred skills
Hedge fund or private equity background, accounting or audit experience, ability to learn new systems quickly
Technologies
Compliance systems and tools
Responsibilities
Support regulatory filings, examinations, investigations, and audits; Administer Code of Ethics and personal trading policies; Manage personal trading program disclosures and reconciliations; Coordinate compliance certification program; Prepare and deliver compliance training; Contribute to controls development and system enhancements
Seniority
Mid-level, hands-on IC