What are the responsibilities and job description for the Compliance Analyst position at Solomon Page?
We are working with a large and prestigious Private Investment firm that manages > 25B in AUM on a new Compliance opening. This position will allow someone exposure to all the strategies of the firm and provide solid professional development. The hours are manageable and benefits are awesome. Our client wants someone with 2- 4 years of total experience.
- Salary: $80-$100k
Responsibilities:
- Keep team informed about regulatory and industry changes and assist in updating policies and procedures; distribute these updates as necessary.
- Monitor and test electronic communications and trade surveillance; ensure
- comprehensive records.
- Perform annual and adhoc reconciliations on distribution lists, information retention, system controls, etc.
- Maintain a calendar of important regulatory filing dates and notify the team of these upcoming deadlines, as well as any other dates that impact the group. Previous experience with various global
- regulatory reporting, including Form ADV, 13G/H, Form PF, FATCA/CRS, and
- NFA filings.
- Assist/backup Code of Ethics monitoring, including employee personal
- trading.
- Review and edit marketing materials.
- Assist the team on projects involving external vendors and internal departments; managing the progress of these projects and keeping all parties informed of outstanding items.
Required Qualifications:
- 4 years of compliance experience in financial services (strong preference for buyside)
- Bachelor’s degree
If you meet the required qualifications and are interested in this role, please apply today.
The Solomon Page Distinction
Our teams, comprised of subject matter experts, develop an interest in your preferences and goals and we act as an advisor for your career advancement. Solomon Page has an extensive network of established clients which allows us to present opportunities that are well-suited to your respective goals and needs – this specialized approach sets us apart in the industries we serve.
About Solomon Page
Founded in 1990, Solomon Page is a specialty niche provider of staffing and executive search solutions across a wide array of functions and industries. The success of Solomon Page reflects an organic growth strategy supported by a highly entrepreneurial culture. Acting as a strategic partner to our clients and candidates, we focus on providing customized solutions and building long-term relationships based on trust, respect, and the consistent delivery of excellent results. For more information and additional opportunities, visit: solomonpage.com and connect with us on Facebook, and LinkedIn.
Opportunity Awaits.
Salary : $80,000 - $100,000
