What are the responsibilities and job description for the Compliance Analyst position at Landing Point?
Compliance Analyst (New York, NY): Our client a prestigious asset management and advisory firm is looking to bring on a Compliance Analyst to join its global Compliance Team headquartered in New York. This is a great opportunity for an individual to gain experience in U.S. and global regulatory compliance, who is comfortable in a fast-paced environment, and who enjoys working with a team in a collegiate environment.
Key points:
- The firm is adding this position due to their continued growth
- This person will work closely with the CCO and senior management
- Exposure to both the broker-dealer and RIA
- This position plays a pivotal role within the Compliance department and will be involved in a number of strategic projects
- Lots of room for growth – no shortage of things to do
- Team is great – young, hungry, entrepreneurial. Everyone has a seat at the table and no matter what your role, your ideas matter
- WFH policy: 4 days in the office and 1 day from home
- Compensation: 100-140k base bonus (total compensation will depend on experience)
Responsibilities:
- Reports directly to the Chief Compliance Officer and primarily provides support to the US BD and IA compliance programs, and other members of the Compliance Team as needed.
- Assists with onboarding new employees onto the company compliance monitoring platform.
- Assist with monitoring employees’ personal trading activity and business communications for compliance with company policy.
- Maintain personnel compliance files (i.e.: tracking U4 updates and logging employee disclosures).
- Support US Compliance Team to ensure all employee regular reporting is submitted and reviewed.
- Assist with maintaining current Compliance Logs for tracking policies and procedures.
- Conduct Anti-Money Laundering reviews such as OFAC and FinCen reviews.
- Assists the CCO with managing some cybersecurity requirements.
- Participate in regular meetings with consultants regarding current compliance issues and industry trends.
- Contribute to the drafting and updating of compliance policies and forms.
- Assist with the preparation of regulatory filings, including Form ADV, Form PF and other reports for the US BD.
Qualifications:
- 2-4 years of applicable experience
Salary : $100,000 - $140,000
