Student or Entry-Level Job

Compliance Officer

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Robert Half Finance & Accounting
New York, NY
Application Deadline: No Deadline
Position: Full-time, Paid

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Midtown New York City asset management firm is seeking a Mid-Senior Compliance Analyst. The position requires a strong understanding of how to code and to monitor in the Bloomberg Order Management System and monitor; Strong Knowledge of Investment Advisor and Investment Company rules and regulations. Must have and experience working in compliance for an asset manager.

Essential Duties and Responsibilities:

Includes the following, other duties may be assigned as needed:
- Managing the firms investment guideline monitoring program, including on-boarding of new mandates, interpretation, coding, daily monitoring and resolution of issues.
- Documenting manual guidelines and working cooperatively with investment teams to ensure adequate monitoring.
- Assist in overseeing the compliance program for the mutual funds, ETFs, hedge funds, investment advisers and broker dealer.
- Conducting ongoing testing of various policies and procedures.
- Completing monthly, quarterly and annual compliance reporting requirements for existing clients.
- Ad-hoc compliance projects.
- Assisting in the monitoring of the code of ethics.
- Assist in monitoring for compliance with client guidelines and restrictions
- Assist in monitoring trade desk
- Drafting and amending policies and procedures.
- Assist in 206(4)-7 and 38(a)-1 reviews
- Assist in vendor, sub-advisor and other due diligence reviews
- Assist compliance colleagues as required

To perform this job successfully, an individual must be able to perform each essential duty satisfactorily.

Supervisory Responsibilities

This job has no supervisory responsibilities but may assist in overseeing colleagues work.

* Strong knowledge of how to Code in the Bloomberg Order Management System or similar Compliance and Order Management System
* Strong understanding of the guideline monitoring function within an investment management organization.
* Strong Knowledge of the Investment Company Act of 1940, Investment Adviser Act of 1940, CFTC and UCITs regulations.
* Knowledge of Dodd Frank, Volker Rule, FATCA, AIFMD
* Strong knowledge of financial products, including derivatives
* Strong verbal and written communication skills.
* Ability to interact effectively with all levels of staff and clients.
* Knowledge of CFTC Rules
* Demonstrated ability to work effectively in a team-oriented environment.
* A strong knowledge of Microsoft Office programs such as Word, Excel and PowerPoint.
* Roll up your sleeve work ethic.

Education and/or Experience

- BS Degree in Finance or Accounting preferred
- Advanced Degree Preferred
- Minimum five to seven years of relevant experience.


To perform the job successfully, an individual should demonstrate the following competencies:

* Professional demeanor
* Capacity for learning new procedures/ideas
* Motivation
* Enthusiasm
* Ability to work independently
* Ability to take initiative
* Ability to spot issues and advise on resolutions
* Ability to multi-task
* Knowledge of Investment Advisors Act, Investment Company Act, CFTC Rules and UCITs

Language Skills

* Ability to effectively present information in one-on-one and small group situations to customers, clients, and employees of all levels within the organization.

Interested candidates could send their resume to

How To Apply

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