Balyasny Asset Management
Compliance Officer, Lead Expert Networks
Balyasny Asset Management, New York, New York, us, 10261
Balyasny Asset Management is seeking an experienced Compliance Officer for its New York office. The employee will report to the Director, Senior Compliance Counsel and will work closely with both the Compliance and Legal Departments. The primary focus will be to assist the Compliance Department with leading the expert network review process and providing compliance oversight to investment and non-investment staff in our US offices.
Responsibilities
Serve as a lead of the expert networks team, managing requests, and analyzing information
Reviewing and approving expert network requests from investment team members
Chaperone expert network calls, documenting and tracking all calls and meeting notes
Analyzing material non-public information and carrying out vetting procedures
Working closely with expert network vendors
Updating Compliance policies and procedures in regard to expert network policies
Conducting new hire and annual compliance trainings
Reviewing subject expert meeting requests
Assist the Director, Senior Compliance Counsel on data/research compliance matters
Handling compliance inquiries and providing oversight and guidance to the investment and non-investment staff
Assisting the team on the Compliance Annual review process
Assist the Compliance Department with ongoing regulatory requirements and enforcing Compliance policies
Escalate matters to Compliance management as necessary
Participate in ad-hoc requests as needed
Qualifications
Bachelor's Degree required
5-7+ years of Compliance experience
Experience with managing process, workflow, etc.
Compliance or legal experience with an investment adviser or broker-dealer
Strong organizational and research skills
Ability to juggle multiple tasks when necessary
Ability to work independently and excel in a high intensity environment
High standard of professionalism in all dealings with internal staff and any external partners, clients and regulatory agencies
Strong written and verbal communication skills
Outstanding attention to detail
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Responsibilities
Serve as a lead of the expert networks team, managing requests, and analyzing information
Reviewing and approving expert network requests from investment team members
Chaperone expert network calls, documenting and tracking all calls and meeting notes
Analyzing material non-public information and carrying out vetting procedures
Working closely with expert network vendors
Updating Compliance policies and procedures in regard to expert network policies
Conducting new hire and annual compliance trainings
Reviewing subject expert meeting requests
Assist the Director, Senior Compliance Counsel on data/research compliance matters
Handling compliance inquiries and providing oversight and guidance to the investment and non-investment staff
Assisting the team on the Compliance Annual review process
Assist the Compliance Department with ongoing regulatory requirements and enforcing Compliance policies
Escalate matters to Compliance management as necessary
Participate in ad-hoc requests as needed
Qualifications
Bachelor's Degree required
5-7+ years of Compliance experience
Experience with managing process, workflow, etc.
Compliance or legal experience with an investment adviser or broker-dealer
Strong organizational and research skills
Ability to juggle multiple tasks when necessary
Ability to work independently and excel in a high intensity environment
High standard of professionalism in all dealings with internal staff and any external partners, clients and regulatory agencies
Strong written and verbal communication skills
Outstanding attention to detail
#J-18808-Ljbffr