Compliance Analyst

Investment Management Firm in Midtown, Manhattan is seeking a Compliance Analyst for a full-time position!

Responsibilities:

• Assist with oversight of sub-advisers, third-party vendors and service providers
• Assist with fund launches, product lifecycle events across ETFs, UCITS and private funds
• Assist in preparing or reviewing DDQs, fund registration documents, website postings
• Coordinate cross-listings, market openings and registrations across exchanges and regulators
• Assist in the execution and documentation of the firm’s compliance testing and monitoring program
• Support maintenance of compliance manuals, policy reviews and calendars
• Help prepare and track regulatory filings (e.g., Form ADV, Form PF, UCITS filings, etc.)
• Code of Ethics compliance monitoring, including approving / denying requests for personal trading, outside business activities, personal investments

Qualifications:

• Bachelor's Degree
• 1-3 years of experience in fund operations, middle or back office or fund compliance
• Strong Excel skills and data experience
• Proven ability to manage multiple priorities in a deadline-driven environment
• Knowledge of the Investment Adviser Act, Investment Company Act of 1940 and/or UCITS preferred