Compliance Analyst
argainvestmentmanagement
finance

Job Description:


ARGA Investment Management, LP seeks a motivated compliance professional to join the compliance department in our Stamford, CT ofce. This individual will report directly to the Chief Compliance Ofcer.

Daily Responsibilities:


Develop, draft and maintain compliance policies and procedures Create and deliver compliance training Perform regular reviews and testing (daily, quarterly, annual) across all compliance areas Construct/maintain compliance rules in Order Management System Assist with regulatory lings (Section 13, Form PF, Form ADV, etc.) Review/approve marketing materials and RFPs to ensure compliance with the SEC Marketing Rule Assist with regulatory examinations, audits and inquiries Analyze new or amended laws, rules and regulations in order to formulate practical solutions for implementation to ensure compliance in all jurisdictions where the rm operates Maintain the compliance calendar Coordinate with internal stakeholders to assist with new business initiatives and regulatory requirements Assist with ad hoc projects and assignments as requested by the Chief Compliance Ofcer

Job Requirements:


Minimum 3-5 years of direct compliance experience at a registered investment adviser or hedge fund. Solid knowledge of Investment Advisers Act of 1940, the Investment Company Act of 1940, SEC regulations and the standards relevant to registered investment advisers. Solid knowledge of the SEC Marketing Rule. Excellent verbal and written communication skills. Strong attention to detail and organizational abilities. Ability to handle multiple tasks simultaneously and work in a fastpaced environment. Exercise poise, integrity and discretion at all times.

Compensation:


N/A

Job Location(s):


Stamford, Connecticut

Source:

Company Career Section

Competition:

N/A

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