CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
A well known Global Asset management firm is seeking a Senior Compliance Analyst to join their Central Compliance Group in their New York Office. Reporting to the Compliance Manager, this Officer will be responsible for assisting with various compliance projects, including the preparation of presentations and reports in response to requests from senior management, as well as internal and external auditors. In addition this Officer will also be responsible for monitoring external commercial activities, political donation, and private investments.
Specific Responsibilities of the Senior Compliance Analyst:
Reviewing and monitoring outside business activities and private investments
Performing conflicts checks, interfacing with other compliance officers within the firm and preparing detailed analyses of findings
Reviewing proposed regulations and rules to determine their respective impact, if any, on existing firm policies and procedures
Testing and monitoring procedures associated with firm policies
Reviewing and responding to employees' questions and requests received via an employee trading shared mailbox and hot line
Assisting with general compliance functions
Performing general administrative tasks, e.g., preparing spreadsheets, PowerPoint presentations, and periodic reports
Presenting policy and procedure overviews at compliance orientation sessions and training new hires on employee activities policies and procedures
Required Skills and Experience of the Senior Compliance Analyst:
BA or BS required, JD preferred
3-5 years prior compliance experience and knowledge of employee activities surveillance, including outside business activities and private investments
Diligent and energetic individual with excellent attention to detail
Must be able to operate in a stressful, deadline driven environment with ability to prioritize issues appropriately
Strong problem-solving skills and demonstrated ability to take initiative and critically analyze processes and procedures in a push toward constant improvement
Strong writing skills with the ability to deliver thorough, but concise, analysis to senior level decision makers
Experience working within an organization distributed across geographic locations a plus
Experience working with various Codes of Ethics and Compliance Manuals across an organization a plus