What are the responsibilities and job description for the Senior Compliance Analyst (Asset Management) position at Landing Point?
Senior Compliance Analyst
Hybrid - New York City
Salary: $110-130k base bonus (140-160k all in), depending on experience
Overview:
A leading asset manager is seeking a Senior Compliance Analyst to join its New York-based compliance team. This role provides significant exposure to senior management and the Chief Compliance Officer (CCO), offering an excellent opportunity to advance your career in compliance and asset management. As a generalist position, it provides broad exposure to the firm's entire compliance program.
Responsibilities:
- Report directly to the Chief Compliance Officer, primarily supporting the U.S. Broker-Dealer (BD) and Investment Adviser (IA) compliance programs, while also assisting other Compliance Team members as needed.
- Facilitate the onboarding process for new employees on the company’s compliance monitoring platform.
- Monitor employees' personal trading activities and business communications to ensure adherence to company policies.
- Maintain compliance records, including tracking U4 updates and logging employee disclosures.
- Assist the U.S. Compliance Team in ensuring timely submission and review of employee regulatory reports.
- Update and manage Compliance Logs for tracking policies and procedures.
- Conduct Anti-Money Laundering (AML) reviews, including OFAC and FinCEN screenings.
Qualifications:
- 1-4 years of experience in a compliance role within asset management or a related financial services sector.
- Alternatively, experience in a consulting firm (particularly in compliance or regulatory advisory) with an interest in moving in-house.
- Strong knowledge of asset management industry regulations (SEC, FINRA, AML, etc.) is preferred.
Salary : $110,000 - $130,000
