Compliance Analyst
Compliance Analyst
Abacus Group, LLC
New York City Metropolitan Area
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
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Seniority level
Associate -
Employment type
Full-time -
Job function
Administrative -
Industries
Financial Services
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