Compliance Associate

The Compliance Analyst reports to the Chief Compliance Officer and performs various activities as part of the companies investment adviser compliance program, including:

• Performing forensic testing and surveillance activities to detect and resolve potential compliance issues;

• Assisting with regulatory examinations and internal audits;

• Monitoring private fund and employee personal trading;

• Advising employees regarding company policies and procedures;

• Assisting in the preparation of regulatory filings;

• Maintaining internal books and records;

• Assisting in the identification of potential conflicts of interest and compliance risks;

• Leading training sessions related to the Code of Ethics; and

• Staying updated on securities laws and regulations.

Qualifications

• Bachelor’s degree required;

• Excellent communication and presentation skills;

• Strong knowledge of Microsoft Excel (including v-lookup and pivot tables), PowerPoint and Word;

• Exceptional attention to detail and organizational skills; and ability to execute multiple projects (short and long term) accurately and on time;

• Working knowledge of complex investment strategies and financial products, especially fixed income and derivatives, and familiarity with securities laws and regulation, including the Investment Advisers Act and Investment Company Act, is required;

• Relevant experience at a SEC-registered investment adviser or investment adviser consultant is preferred.