Junior Compliance Officer

Our client, a prestigious global investment management firm located in New York, NY, is seeking a highly motivated and detail-oriented Junior Compliance Analyst to join their esteemed organization. This individual will play a critical role in overseeing and managing internal employees' personal trading activities to ensure compliance with the firm's policies and regulatory requirements.

Responsibilities:

• Assist in drafting, maintaining, and implementing compliance and conflicts of interest policies, specifically related to employee trading activities.
• Monitor adherence to the firm's policies, procedures, and protocols, with a particular focus on personal trading activities.
• Prepare and maintain comprehensive documentation and reports related to compliance activities, ensuring accuracy and regulatory compliance.
• Provide training and guidance to employees on compliance policies and procedures related to personal trading, fostering a culture of compliance within the organization.
• Identify and address any compliance issues or breaches promptly, working with relevant stakeholders to implement corrective actions.
• Stay current with regulatory changes and updates in the financial services industry, ensuring the firm's policies and practices remain compliant with all relevant laws and regulations.
• Work closely with other departments, including legal, risk management, and trading, to support the overall compliance framework of the organization.

Qualifications:

• Bachelor’s degree in Finance, Business, Law, or a related field preferred.
• Strong understanding of compliance regulations and best practices within the investment management industry.
• Excellent analytical, organizational, and communication skills, with a keen attention to detail.