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Senior Compliance Analyst- New York

  • Job type: Permanent
  • Location: New York
  • Salary: Competitive
  • Job reference: jo060518
  • Sector: Banking and Finance, Compliance, Selby Jennings
  • Date posted: 05/06/2018
Job Description

A well known Global Asset management firm is seeking a Senior Compliance Analyst to join their Central Compliance Group in their New York Office. Reporting to the Compliance Manager, this Officer will be responsible for assisting with various compliance projects, including the preparation of presentations and reports in response to requests from senior management, as well as internal and external auditors. In addition, this Officer will also be responsible for monitoring external commercial activities, political donation, and private investments.


Specific Responsibilities of the Senior Compliance Analyst:
  • Reviewing and monitoring outside business activities and private investments
  • Performing conflicts checks, interfacing with other compliance officers within the firm and preparing detailed analyses of findings
  • Reviewing proposed regulations and rules to determine their respective impact, if any, on existing firm policies and procedures
  • Testing and monitoring procedures associated with firm policies
  • Reviewing and responding to employees’ questions and requests received via an employee trading shared mailbox and hotline
  • Assisting with general compliance functions
  • Performing general administrative tasks, e.g., preparing spreadsheets, PowerPoint presentations, and periodic reports
  • Presenting policy and procedure overviews at compliance orientation sessions and training new hires on employee activities policies and procedures
 Required Skills and Experience of the Senior Compliance Analyst:
  • BA or BS required, JD preferred
  • 3-5 years prior compliance experience and knowledge of employee activities surveillance, including outside business activities and private investments
  • Diligent and energetic individual with excellent attention to detail
  • Must be able to operate in a stressful, deadline driven environment with the ability to prioritize issues appropriately
  • Strong problem-solving skills and demonstrated ability to take initiative and critically analyze processes and procedures in a push toward constant improvement
  • Strong writing skills with the ability to deliver thorough, but concise, analysis to senior level decision makers
  • Experience working within an organization distributed across geographic locations a plus
  • Experience working with various Codes of Ethics and Compliance Manuals across an organization a plus
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