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    Compliance Analyst - New York, United States - Trevose Partners Limited

    Trevose Partners Limited
    Trevose Partners Limited New York, United States

    1 week ago

    Default job background
    Description
    Our Client, A Top-Tier Hedge Fund is looking to bring on a Compliance Analyst to join their team here in NYC

    Job Summary: We are seeking a meticulous and detail-oriented Compliance Analyst to join our compliance team. The ideal candidate will play a crucial role in ensuring that our hedge fund operates within the legal and regulatory frameworks. This position requires a thorough understanding of financial regulations, strong analytical skills, and the ability to implement compliance policies effectively.
    Key Responsibilities:
    • Regulatory Compliance:
      • Monitor and interpret regulations and guidelines issued by regulatory bodies such as the SEC, CFTC, and FINRA.
      • Ensure the hedge fund's activities comply with all relevant laws and regulations.
      • Assist in the development and implementation of compliance policies and procedures.
    • Monitoring and Surveillance:
      • Conduct ongoing monitoring and surveillance of trading activities to detect and report any suspicious or non-compliant behavior.
      • Use compliance software tools to analyze data and generate reports.
    • Risk Assessment:
      • Conduct regular risk assessments and compliance audits to identify potential areas of vulnerability.
      • Recommend improvements and enhancements to mitigate compliance risks.
    • Reporting and Documentation:
      • Prepare and maintain detailed documentation of compliance activities, findings, and corrective actions.
      • Generate compliance reports for senior management and regulatory bodies as required.
    • Training and Education:
      • Assist in the development and delivery of compliance training programs for employees.
      • Keep staff informed about regulatory changes and updates.
    • Investigations:
      • Conduct investigations into potential compliance breaches or irregularities.
      • Collaborate with legal and other departments to resolve compliance issues.
    • Communication:
      • Liaise with external regulators and auditors as necessary.
      • Communicate effectively with internal teams to ensure compliance awareness and adherence.
    Qualifications:
    • Education:
      • Bachelor's degree in Finance, Law, Business Administration, or a related field. Advanced degree or certification (e.g., CAMS, CRCM) is a plus.
    • Experience:
      • Minimum of 1-3 years of experience in a compliance role within the financial services industry, preferably within a hedge fund or asset management firm.
    • Skills:
      • In-depth knowledge of financial regulations and compliance requirements.
      • Strong analytical and problem-solving abilities.
      • Excellent written and verbal communication skills.
      • High level of integrity and attention to detail.
      • Proficiency in compliance software and MS Office Suite, particularly Excel.
    The perfect role
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    Apply now
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