Overview:
A leading global investment firm managing $50B+ in assets is seeking a Senior Compliance Analyst to join their compliance team.
The Opportunity:
The Senior Compliance Analyst will assist in managing the investment advisory compliance program for an SEC-registered investment adviser, covering family office clients and both onshore and offshore private funds.
Key Responsibilities:
- Regulatory Filings: Form ADV, Form PF, Forms 13G, 13H, 13F
- Policy Implementation
- Code of Ethics Administration
- Compliance Testing
- Marketing Review
Ideal Candidate Background:
- 2-5 years of experience at an investment adviser, hedge fund, private equity firm, or asset management firm.
- Strong knowledge of the Investment Advisers Act of 1940 and related regulations.
- Technologically proficient and comfortable addressing technical issues.
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