Northbound Executive Search
Northbound Executive Search provided pay range
This range is provided by Northbound Executive Search. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.
Base pay range $135,000.00/yr - $150,000.00/yr
Direct message the job poster from Northbound Executive Search
Our client is a well-established financial services firm seeking a compliance individual to join their growing team. This position is starting on a temporary basis and has no set end date at this time.
POSITION SUMMARY We are seeking a Compliance Analyst to be based in New York. This is a unique opportunity to join a ‘best-in-class’ compliance and work closely with the Credit Compliance team to provide oversight and monitoring to the Firm’s trading platform and activities.
TRADE CONTROLS
Facilitate pre-trade compliance controls and analysis—including management of the Firm’s security master and sensitive data points.
Perform due diligence on new and ongoing counterparties
Participate in Daily Trade Review
Oversee review of re-allocations, best execution activity and trade overrides.
Build out oversight controls, as necessary, and developing a subject-matter expertise to effectively identify and address any oversight gaps relating to the Firms trading activity.
Assist in identification and remediation of trade and operational-related trade errors and issues.
PORTFOLIO COMPLIANCE
Provide assistance in onboarding new client accounts.
Management of Portfolio and Client Restricted Lists (i.e. affiliated investments)
Manage the execution of the Firm’s Proxy Voting
Assist with management of Certifications (“CERTS”) process in Firm’s proprietary workflow tool.
GENERAL
Play a key role in the identification and implementation of technical solutions that drive efficiency and increase oversight of ever-growing business.
Participate in regulatory / industry initiatives relating to new regulations and other issues relevant to the asset management business, coordinating with the wider Legal/Compliance team.
Assist with drafting policies and procedures relevant to supporting the business.
KEY EXPERIENCE AND ATTRIBUTES
Minimum of 2-5 years of strong trading desk / front office regulatory compliance gained within a credit asset management environment.
Legal experience / background useful but not essential.
Enthusiasm, motivation, curiosity and the ability to be proactive.
Solution-oriented self-starter with high integrity.
Consistent attention to detail; acts professionally regarding sensitive subjects and maintains confidentiality while exercising discretion at all times.
Sound interpersonal skills and relationship building abilities.
Effective communication skills including strong written communication skills for report writing and analysis.
Proven ability to manage multiple demands and projects in a fast-paced work environment, including ability to prioritize time efficiently and handle heavy workloads while remaining attentive to detail.
Advanced computer literacy including Microsoft Office (PowerPoint and Excel).
Good with technology and an interest in learning new systems. Ability to communicate complex systems in a digestible manner.
Seniority level Associate
Employment type Temporary
Job function Legal
Industries: Venture Capital and Private Equity Principals
Referrals increase your chances of interviewing at Northbound Executive Search by 2x
Inferred from the description for this job Medical insurance
Vision insurance
Get notified about new Compliance Analyst jobs in
New York, NY .
#J-18808-Ljbffr
Base pay range $135,000.00/yr - $150,000.00/yr
Direct message the job poster from Northbound Executive Search
Our client is a well-established financial services firm seeking a compliance individual to join their growing team. This position is starting on a temporary basis and has no set end date at this time.
POSITION SUMMARY We are seeking a Compliance Analyst to be based in New York. This is a unique opportunity to join a ‘best-in-class’ compliance and work closely with the Credit Compliance team to provide oversight and monitoring to the Firm’s trading platform and activities.
TRADE CONTROLS
Facilitate pre-trade compliance controls and analysis—including management of the Firm’s security master and sensitive data points.
Perform due diligence on new and ongoing counterparties
Participate in Daily Trade Review
Oversee review of re-allocations, best execution activity and trade overrides.
Build out oversight controls, as necessary, and developing a subject-matter expertise to effectively identify and address any oversight gaps relating to the Firms trading activity.
Assist in identification and remediation of trade and operational-related trade errors and issues.
PORTFOLIO COMPLIANCE
Provide assistance in onboarding new client accounts.
Management of Portfolio and Client Restricted Lists (i.e. affiliated investments)
Manage the execution of the Firm’s Proxy Voting
Assist with management of Certifications (“CERTS”) process in Firm’s proprietary workflow tool.
GENERAL
Play a key role in the identification and implementation of technical solutions that drive efficiency and increase oversight of ever-growing business.
Participate in regulatory / industry initiatives relating to new regulations and other issues relevant to the asset management business, coordinating with the wider Legal/Compliance team.
Assist with drafting policies and procedures relevant to supporting the business.
KEY EXPERIENCE AND ATTRIBUTES
Minimum of 2-5 years of strong trading desk / front office regulatory compliance gained within a credit asset management environment.
Legal experience / background useful but not essential.
Enthusiasm, motivation, curiosity and the ability to be proactive.
Solution-oriented self-starter with high integrity.
Consistent attention to detail; acts professionally regarding sensitive subjects and maintains confidentiality while exercising discretion at all times.
Sound interpersonal skills and relationship building abilities.
Effective communication skills including strong written communication skills for report writing and analysis.
Proven ability to manage multiple demands and projects in a fast-paced work environment, including ability to prioritize time efficiently and handle heavy workloads while remaining attentive to detail.
Advanced computer literacy including Microsoft Office (PowerPoint and Excel).
Good with technology and an interest in learning new systems. Ability to communicate complex systems in a digestible manner.
Seniority level Associate
Employment type Temporary
Job function Legal
Industries: Venture Capital and Private Equity Principals
Referrals increase your chances of interviewing at Northbound Executive Search by 2x
Inferred from the description for this job Medical insurance
Vision insurance
Get notified about new Compliance Analyst jobs in
New York, NY .
#J-18808-Ljbffr