COMPLIANCE ANALYST

Our Client, an investment management firm with over $23 billion under management, has an opening in Legal/Compliance department for a Compliance Analyst.

This position will assist the Compliance Manager and the General Counsel/Chief Compliance Officer ("CCO") in ensuring that all operations and portfolios managed are in compliance with policies and procedures and federal and state regulations. This will be accomplished by conducting periodic compliance testing and reporting results to the Compliance Manager; monitoring investment transactions and preparing and submitting regulatory filings; understanding the firm and each of its business units; and creating/applying new testing modules when necessary as well as other ad hoc projects and initiatives.

Candidates should possess the following qualifications and skills:

• Bachelor's degree with 4-6 years experience in investment adviser compliance, either in the compliance departments of an investment advisor or at a firm which audits or consults with investment advisers preferred; relevant legal or audit experience will also be considered
• Strong organizational, analytical and administrative skills, attention to detail and ability to meet strict deadlines
• Knowledge of Investment Advisers Act of 1940 and general familiarity with rules and regulations of the investment advisory industry, particularly in the hedge fund context
• Proficiency in database, spreadsheet and word processing software products
• Ability to thrive in a fast-paced, deadline-driven, and team oriented environment with the ability to take initiative and multi-task

Principal Responsibilities:

• Conduct regular and periodic testing of investment and administrative activities to determine whether existing practices are in compliance with federal and state regulations and Company policies and procedures. General areas of analysis may include: trade allocation, documentation and reconciliation, personal security trading, investor communications, proxy voting, privacy and safeguarding of confidential information, books and records retention and antimony laundering program
• Interact with other business units to address potential risk areas, address/enhance policies and procedures designed to mitigate those risks and test those policies and procedures on an ongoing basis
• Assist the Compliance Manager in maintaining a compliance calendar, incorporating a compliance testing schedule and identifying all dates by which regulatory and compliance matters must be completed
• Assist the Compliance Manager in maintaining a manual of our Client?s policies and procedures for monitoring compliance, help ensure policies and procedures are comprehensive and continually reflect the company?s current business processes and regulatory requirements
• Assist the Compliance Manager with completing the annual compliance report, periodic presentations on compliance matters to senior management, maintaining Company compliance training, and reviewing current regulatory issues and analyzing their applicability to Company.
•  Monitor investments and prepare and submit regulatory filings as needed
• Assume additional responsibilities as requested

This is an excellent opportunity for the person who feels they can make an impact and be valued for their contributions within a dynamic, highly motivated environment of a very successful firm.

Laufer and Associates is a leading full-service recruiting firm, devoted to building rewarding relationships with our clients and candidates in New England through a uniquely creative and discerning approach that delivers exceptional staffing results.

All qualified candidates are asked to submit a confidential resume and cover letter (in two Word docs, please) to: jlaufer@lauferandassociates.net

We are unable to sponsor non-US residents.