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We're working with a leading global alternative investment firm to add an Investment Compliance Analyst to the New York team. The position will support the firm's information-barrier and conflicts framework, including MNPI controls, watch and restricted lists, trade surveillance and employee compliance. It offers regular interaction with investment professionals, Legal and Compliance teams across a global business. Identify, escalate and help manage potential conflicts of interest Review employee trading, private investments and outside business activities Conduct trade and electronic communications surveillance Implement and monitor temporary information barriers Coordinate with investment teams, Legal, Compliance and external counsel Support related policies, systems and compliance projects 1 - 3 years of relevant financial-services compliance experience~ Experience in investment compliance, surveillance, control room, employee compliance, conflicts or a related area~ Familiarity with MNPI, information barriers, watch and restricted lists, or personal trading~ Knowledge of the Investment Advisers Act and relevant SEC or FINRA requirements is advantageous~ sponsorship is available where required

Also on the board Same function, level within a rung

Level

Senior

Location

New York, NY

Occupation

Financial and Investment Analysts

Industry

Portfolio Management and Investment Advice

Posted

yesterday

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