- Review completed investment subscription documents for completeness and accuracy.
- Ensure all required documentation has been provided.
- Review completed change requests for data quality and completion.
- Maintain a tracker for all requested and completed updates.
- Liaise with Advisors, Investors and Custodians to ensure updated investor data is received and completed on their end.
- Work closely with several internal teams including Compliance, Investor Relations, and Fund Administration.
- Liaise with client team to get initiatives for account maintenance completed.
- Provide an outstanding client experience.
- Guide the change requests from request to completion.
- Assist with ad hoc requests
- Review client/investor documents to identify and compile key information required to perform Compliance Services including AML/KYC, FATCA, and CRS. Documents to include, but not limited to, subscription documents, tax forms, self-certification.
- Maintain and update client/investor database with key compliance information based on new compliance reviews and existing contracted clients. Ensure all documentation (e.g., tax forms) is current, not expired and completed.
- Escalate with the Director of Compliance any compliance issues, open items, missing or expired documentation that need to be escalated to CS team, client and/or third-party resources.
- Ensure all documents/reports are maintained in proper locations to include AML/KYC, FATCA, and CRS results, client report letters, client invoices, client/firm servicing contracts/pricing and third-party resource statements.
- Ensure compliance checklists are completed for each review and signed. Ensure all steps are followed for control purposes.
- Bachelor's Degree in Business Administration, Finance, or Accounting a plus.
- 0-1 years' work experience in Compliance Services, a plus.
- Strong ability to gather, track and centralize information/documents.
- Must be extremely detail oriented and highly organized.
- Will train to review subscription, tax documents.
- Excellent data entry and reconciliations of systems and ongoing maintenance.
- Microsoft applications proficient. Strong EXCEL skills (formulas, pivot tables, VLOOKUPs).
- Excellent verbal, written and interpersonal communication skills.
- Efficient time management skills and the ability to maintain control over information and documents to meet client, firm, and reporting deadlines.
- A challenging and rewarding role in a fast-growing organization.
- Opportunities for personal and professional career development.
- Great working environment, competitive salary, and benefits.
- Opportunity to be part of an industry leading team known for service excellence.
- Administering over $1T in assets.
- Servicing nearly every significant investor in the asset class.
- Institutional grade infrastructure and SSAE 18 (SOC-1, Type 2) certification, ensuring confidence in our processes and operating model.
- The most experienced and best performing team in the industry.
-
Aml Compliance Analyst
5 days ago
Mizuho Americas New York, United StatesJob Summary · Compliance Analyst is responsible for administrative functions of the AML Financial Investigations Unit (FIU) for Transaction Monitoring, including Suspicious Activity Reports ("SAR") related responsibilities, Head Office reporting requirements and Transaction Monit ...
-
Standards Compliance Analyst 1 Developmental
5 days ago
People With Developmental Disabilities, Office for New York, United States**Minimum Qualifications** · NON-COMPETITIVE MINIMUM QUALIFICATIONS: · Standards Compliance Analyst DD Trainee 1: A bachelor's degree in audiology, community mental health, education, gerontology, human development, human services, nursing, nutrition, occupational therapy, physic ...
-
Analyst-compliance, Small Business Lending
13 hours ago
Amex New York, United States**You Lead the Way. We've Got Your Back.** · With the right backing, people and businesses have the power to progress in incredible ways. When you join Team Amex, you become part of a global and diverse community of colleagues with an unwavering commitment to back our customers, ...
-
Compliance Analyst
3 days ago
Tandym Group New York, United StatesA recognized hedge fund in New York City is looking to add a new Compliance Analyst to their growing team. In this role, the Compliance Analyst will be responsible for helping to ensure that the firm's business activities are conducted in strict accordance with regulatory require ...
-
Compliance Analyst
6 days ago
Public Health Solutions New York, United StatesCompany Overview · Health disparities among New Yorkers are large, persistent and increasing. Public Health Solutions (PHS) exists to change that trajectory and support New Yorkers and their families in achieving optimal health and building pathways to reach their potential. As t ...
-
Compliance Analyst
5 days ago
Private Equity Firm New York, United StatesTitle: Compliance Analyst · Location: New York City, NY · Hybrid Work: Role will start in-office four days per week, reducing to three days after training · Compensation: $100,000 $120,000 base salary plus bonus. · Job Overview: A prestigious private equity firm based in New ...
-
IT Compliance Analyst
5 days ago
ASSA ABLOY Group New York, United StatesWe are seeking a highly motivated and detail-oriented IT Compliance Analyst to join our dynamic team at ASSA ABLOY Americas Residential. As an IT Compliance Analyst, you will play a crucial role in overseeing IT and business operations and help ensure regulatory compliance. The I ...
-
Compliance Analyst
2 days ago
New Start Capital New York, United StatesCompany Description · New Start Capital is a financial services and advisory firm located in New York, NY. We specialize in helping customers with lower to moderate credit scores obtain loans, consolidate debts, and reduce creditor payments through lower interest rate solutions. ...
-
Compliance Analyst
3 days ago
Atlantic Group New York, United StatesLocation: NYC - Midtown (3-4 days in office) · Compensation: $100k-$120k base + bonus ($20k-$30k) · A global investment firm is seeking to hire a Compliance Analyst who will work closely with the firm's Compliance Officer to support the compliance program. This role is a great op ...
-
Compliance Analyst
1 week ago
Fortress Investment New York, United StatesCompliance Analyst · New York · Corporate Group · Ref # · 3213 · Date published · 08-Sep-2023 · About Fortress · Fortress Investment Group LLC is a leading, highly diversified global investment manager with approximately $48 billion of assets under management as of December 31, 2 ...
-
Compliance Analyst
1 week ago
New York City, NY Manhattan, United StatesPLEASE NOTE APPLICANTS MUST BE PERMANENT IN THE ASSOCIATE STAFF ANALYST CIVIL SERVICE TITLE.OR IN A COMPARABLE TITLE ELIGIBLE FOR 6.1.9. · The DSS Accountability Office's ORCA is charged with working closely with internal and external partners to ensure that DHS facilities, direc ...
-
compliance analyst
2 days ago
City of New York New York, United StatesJob Description · PLEASE NOTE APPLICANTS MUST BE PERMANENT IN THE ASSOCIATE STAFF ANALYST CIVIL SERVICE TITLE.OR IN A COMPARABLE TITLE ELIGIBLE FOR · The DSS Accountability Offices ORCA is charged with working closely with internal and external partners to ensure that DHS facil ...
-
Compliance Analyst
5 days ago
Larson Maddox New York, United StatesOur client is a top investment management firm with over $15 billion in assets and over 1,500 employes across their global offices. Their team is made up of high performing individuals with diversified backgrounds and responsibilites. · We have partnered with this prestigious fi ...
-
Compliance Analyst
3 days ago
Private Equity Firm New York, United StatesTitle: Compliance Analyst · Location: New York City, NY · Hybrid Work: Role will start in-office four days per week, reducing to three days after training · Compensation: $100,000 – $120,000 base salary plus bonus. · Job Overview: A prestigious private equity firm based in New Y ...
-
Compliance Analyst
5 days ago
Millennium Management Corp New York, United StatesCompliance Analyst · The Compliance Department at Millennium serves to adopt, implement, and enforce a Compliance program, including policies and procedures, processes, systems, controls, surveillance, testing and reporting, which is designed to prevent or detect violations of a ...
-
Compliance Analyst
1 week ago
Franklin Resources New York, United StatesAt Franklin Templeton, we're driving our industry forward by developing new and innovative ways to help our clients achieve their investment goals. Our dynamic and diversified firm spans asset management, wealth management, and fintech, offering many ways to help investors make p ...
-
Compliance Analyst
1 week ago
Neuberger Berman New York, United StatesResponsibilities: · * Work regularly with the CCO-Alternatives and Alternatives Legal & Compliance team, as well as other divisional CCOs and legal staff, in developing and implementing policies and procedures for a registered investment adviser, with a specific emphasis on the I ...
-
Compliance Analyst
1 week ago
New York City, NY Manhattan, United StatesThe Division of Shelter Operations oversees the day-to-day operations of the agency's Single Adult, Adulty Families and Families with Children shelter systems, both directly run and contracted providers. The work done in this Division centers on the re-housing of all shelter popu ...
-
Compliance Analyst
5 days ago
Atlantic Group New York, United StatesLocation: NYC - Midtown (3-4 days in office) · Compensation: $100k-$120k base + bonus ($20k-$30k) · A global investment firm is seeking to hire a Compliance Analyst who will work closely with the firms Compliance Officer to support the compliance program. This role is a great o ...
-
Compliance Analyst
5 days ago
City National Bank New York, United StatesOverview: · COMPLIANCE ANALYST WHAT IS THE OPPORTUNITY? The Compliance Analyst will be responsible for monitoring, oversight and independent review and assessment of the Compliance framework for the Division. Ensure processes are in place for the appropriate oversight, tracking ...
Junior Compliance Analyst - New York, United States - Gen II Fund Services
Description
Gen II Fund Services Boston office is seeking an entry level compliance analyst to work with the compliance team in all administrative tasks related to Anti-Money Laundering (AML) and Know Your Customer (KYC) services for new and existing clients/investors.
Administrative Functions:
Work Arrangement
All applicants applying to Gen II Fund Services, LLC must be legally authorized to work in the United States. Please note that all US employees are required to work a hybrid schedule, comprised of two (2) days a week in our office and three (3) days remotely.
What we offer
Gen II Fund Services, LLC is one of the largest global independent private equity fund administrators, administering over $1T of private capital on behalf of its clients with offices in New York, San Francisco, Boston, Stamford, Dallas, Denver, Vancouver, and Luxembourg. Gen II offers private fund sponsors a best-in-class combination of people, process, and technology, enabling fund sponsors to most effectively manage their operational infrastructure, financial reporting, and investor communications. The Gen II team is the most experienced and longest tenured team in the private equity fund administration industry, with broad expertise across buyout, funds of funds, real estate, energy, infrastructure, credit, co-investment, hybrid funds, feeder funds, venture capital, retail, and managed accounts.
Key Facts:
Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities
The contractor will not discharge or in any other manner discriminate against employees or applicants because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. However, employees who have access to the compensation information of other employees or applicants as a part of their essential job functions cannot disclose the pay of other employees or applicants to individuals who do not otherwise have access to compensation information, unless the disclosure is (a) in response to a formal complaint or charge, (b) in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or (c) consistent with the contractor's legal duty to furnish information. 41 CFR c)