What are the responsibilities and job description for the New York Compliance Analyst position at Soros Fund Management?
Company Description
Soros Fund Management LLC (SFM) is a global asset manager and family office founded by George Soros in 1970. With $28 billion in assets under management (AUM), SFM serves as the principal asset manager for the Open Society Foundations, one of the world's largest charitable foundations dedicated to advancing justice, human rights, and democracy.
Distinct from other investment platforms, SFM thrives on agility, acting decisively when conviction is high and exercising patience when it's not. With permanent capital, a select group of major clients, and an unconstrained mandate, we invest opportunistically with a long-term view. Our teams operate with autonomy, while cross-team collaboration strengthens our conviction and empowers us to capitalize on market dislocations.
At SFM, we foster an ownership mindset, encouraging professionals to challenge the status quo, innovate, and take initiative. We prioritize development, enabling team members to push beyond their roles, voice bold ideas, and contribute to our long-term success. This culture of continuous growth and constructive debate fuels innovation and drives efficiency.
Our impact is measured by both the returns we generate and the values we uphold, from environmental stewardship to social responsibility. Operating as a unified team across geographies and mandates, we remain committed to our mission, ensuring a meaningful, lasting impact.
Headquartered in New York City with offices in Greenwich, Garden City, London, and Dublin, SFM employs 200 professionals.
Position Overview
SFM seeks a business-minded Compliance Analyst to join its team based in the New York office and support the firm's global compliance and regulatory program (e.g., U.S., U.K. and Ireland).
This candidate will work closely with the firm's investment professionals, members of the Legal and Compliance Department and other key stakeholders across the firm on a broad range of investment advisory, regulatory and compliance matters. The ideal candidate will have a specific knowledge of asset management investment and trading activities.
Reporting to the firm's Deputy Chief Compliance Officer, the successful candidate will provide assistance in overseeing a broad range of compliance and regulatory matters and have responsibility for updating and maintaining certain of the firm's compliance policies and procedures, including with respect to a multitude of asset classes and products that may be managed internally or by third-party asset managers. Additionally, the candidate will be expected to assist in building out new policies, procedures and compliance programs for both private and publicly traded assets (including, equities, fixed-income and credit products, fund investments and other private equity investments), as needed.
Key Relationships
Reports To : Deputy Chief Compliance Officer
Other Key Relationships : General Counsel and CCO, Legal Department, Portfolio Managers & Analysts, Trade Execution Desk, Trade Support, Technology
Primary Responsibilities
- Provide compliance guidance and support for investment and trading activities, and approvals for trading requests through the firm's order management system and related compliance tools
- Manage compliance processes including pre and post trade compliance oversight, the receipt of MNPI, wall crossings and the firm's restricted list
- Assist with the firm's centralized compliance program covering the Code of Ethics policies, restricted list maintenance, data room monitoring, and surveillance of trading activity and electronic communications
- Assist with US regulatory filings and disclosures
- Partner with Portfolio Managers and Traders to understand the scope of securities they are trading / monitoring to pre-empt restrictions that may predicate trading activity
- Educate and train employees on compliance issues and industry developments
- Be a resource for business teams to resolve compliance issues in accordance with industry regulations and firm policies
- Flexibility to provide ad hoc compliance coverage to the firm's London office when the local compliance officer is unavailable
Requirements
What We Offer :
In all respects, candidates need to reflect the following SFM core values :
Integrity / / Teamwork / / Smart risk-taking / / Owner's Mindset / / Humility
Salary : $150,000 - $200,000
