pure searchNew York, NY
Investment Analyst, Private Assets
Investment Analyst, Private Assets
Investment Analyst, Private Assets
pure searchNew York, NY
yesterday
Financial and Investment AnalystsCompliance ManagersSecurities, Commodities, and Financial Services Sales Agents
Portfolio Management and Investment AdviceMiscellaneous Financial Investment ActivitiesInvestment Banking and Securities Intermediation
Apply for this role (opens in a new tab)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