Social Capital Resources
Social Capital Resources provided pay range
This range is provided by Social Capital Resources. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.
Base pay range $75,000.00/yr - $100,000.00/yr
Top‑Tier Investment Management Firm in NYC is seeking a Compliance Analyst for a full‑time position!
Responsibilities:
Perform portfolio and trade surveillance to ensure that the firm maintains compliance with client guidelines and regulatory requirements.
Assist with mutual fund trade restrictions, guidelines, and 1940 Act limitations on Charles River OMS.
Oversee post‑trade compliance program at fund administrator. Review prospectus and SAI updates and update compliance testing matrices.
Assist with post‑trade and end‑of‑day batch investment compliance monitoring activities for client accounts and mutual fund portfolios.
Ongoing review and maintenance of the monitoring and testing program for the advisers and funds.
Conduct transactional, forensic testing and compliance reviews for adviser and fund portfolios.
Qualifications:
Bachelor's Degree
1‑3 years experience working in compliance
1+ years experience working in compliance at an Investment or Asset Manager is a plus
Knowledge of the 1940 Act is a plus
Seniority level Associate
Employment type Full‑time
Job function Finance
Industries Investment Management
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Base pay range $75,000.00/yr - $100,000.00/yr
Top‑Tier Investment Management Firm in NYC is seeking a Compliance Analyst for a full‑time position!
Responsibilities:
Perform portfolio and trade surveillance to ensure that the firm maintains compliance with client guidelines and regulatory requirements.
Assist with mutual fund trade restrictions, guidelines, and 1940 Act limitations on Charles River OMS.
Oversee post‑trade compliance program at fund administrator. Review prospectus and SAI updates and update compliance testing matrices.
Assist with post‑trade and end‑of‑day batch investment compliance monitoring activities for client accounts and mutual fund portfolios.
Ongoing review and maintenance of the monitoring and testing program for the advisers and funds.
Conduct transactional, forensic testing and compliance reviews for adviser and fund portfolios.
Qualifications:
Bachelor's Degree
1‑3 years experience working in compliance
1+ years experience working in compliance at an Investment or Asset Manager is a plus
Knowledge of the 1940 Act is a plus
Seniority level Associate
Employment type Full‑time
Job function Finance
Industries Investment Management
#J-18808-Ljbffr