Abacus Group, LLC

Compliance Analyst

Abacus Group, LLC New York City Metropolitan Area
Abacus Group, LLC

Compliance Analyst

Abacus Group, LLC New York City Metropolitan Area
1 week ago 141 applicants

See who Abacus Group, LLC has hired for this role

Our client is a financial services firm. They seek a Compliance Analyst to join their Manhattan, NY office.


Responsibilities

  • Provide support to investment professionals on the firm’s Compliance Program
  • Implement the firm’s Code of Ethics, including personal trading and outside business activity
  • Help on-board new employees with Compliance training and documentation
  • Assess firm and employee trade surveillance reports to identify potential issues
  • Review E-surveillance reports of messages sent over firm platforms to identify potential issues
  • Analyze fund allocation reports to ensure compliance with firm policy
  • Support to the Research Compliance function, including reviewing consultant approvals


Requirements

  • Bachelor’s degree
  • 1-2 years of relevant Compliance experience
  • Financial services industry background
  • Fund-related experience preferred
  • Understanding of trading and markets
  • Able to multi-task with keen attention to detail
  • Skilled in Microsoft Office (Excel and Word)


JobID: 16684

  • Seniority level

    Associate

  • Employment type

    Full-time

  • Job function

    Administrative

  • Industries

    Financial Services

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