Compliance Analyst
massarcapitalmanagement
finance
Job Description:
We are seeking a motivated and detail-oriented individual to join our Compliance team and contribute to our growth. This is an exciting opportunity to join a fast-growing hedge fund with a highly collaborative culture. This individual will work directly with the General Counsel to develop and implement compliance policies and procedures.
This position will be based in either our NYC or Stamford, CT offices and is in office Monday through Friday.
Daily Responsibilities:
Assist the General Counsel with the development, implementation and maintenance of global legal and compliance policies and procedures
Manage compliance task deadlines
Administer the firms Code of Ethics (gift/entertainment requests, conflict disclosures, political contributions, etc.), track certifications and maintain compliance logs
Assist with employee and firm trade surveillance
Review marketing materials
Track investor subscriptions and redemptions
Manage the counterparty and vendor diligence process
Coordinate with various departments on regulatory filings (SEC, CFTC/NFA, etc.)
Assist with NFA Self-Exam and SEC Annual Review
Job Requirements:
Bachelors degree
1-3 years of compliance experience at an SEC registered investment adviser
General knowledge of CFTC and SEC regulatory framework
Outstanding attention to detail
Team player
Ability to work in a fast-paced, dynamic environment
Compensation:
Base Salary: $100,000 to $115,000/yr plus discretionary bonus
Compensation may vary based on skills and experience
Comprehensive benefits package including medical, dental, vision, 401(k), insurance, Summer Fridays, and wellness reimbursement.
Job Location(s):
Stamford, Connecticut
Source:
Company Career Section
Competition:
N/A
Is there an interview guide for massarcapitalmanagement?
Yes
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