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Quincy

    Compliance Analyst - Quincy, United States - Atlantic Group

    Atlantic Group
    Atlantic Group Quincy, United States

    1 week ago

    atlantic group background
    Description

    An independent hedge fund/investment management firm in Quincy, MA is seeking a Compliance Analyst to join their growing team. (Hybrid: 3 days a week in office) This is an excellent opportunity to spearhead your career growth at a reputable smaller firm. This role gives you the opportunity to learn from, and have direct exposure with a strong leadership team.

    This individual will have the responsibility of collaborating directly with our Principals, our COO/CCO, and the rest of our business operations team, providing assistance across all aspects of firm compliance. The candidate must have hedge fund compliance experience.

    Responsibilities:

    • Aid the COO/CCO in fulfilling all RIA and Fund compliance obligations and tasks.
    • Oversee and support adherence to the Code of Conduct and personal trading regulations for the company and its staff.
    • Collaborate with the COO/CCO to assess all communications with investors and prospects, including the company's website, ensuring compliance with new SEC Marketing rules.
    • Assist in completing all regulatory filings for our Funds and RIA entities.
    • Manage all documentation related to relationships with counterparties, broker dealers, and prime brokers for the firm.
    • Lead the firm's proxy voting activities.
    • Collaborate with the Investment Team to monitor and participate in research meetings.

    Skills & Experience Required:

    • 3-5 years of experience in a hedge fund or another asset management firm.
    • Minimum of a BA/BS degree or equivalent.
    • Previous experience in compliance within the investment management industry.
    • Knowledge of Hedge Funds or Private Investment Funds is essential.
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