Analyst - Central Compliance - Top Private Equity Firm

  • Base salary, bonus and excellent benefits.
  • New York, NY, USA New York NY US
  • Permanent, Full time
  • The Forum Group
  • 18 Jun 18 2018-06-18

Our client, one of the most prestigious financial services firms globally is seeking a highly motivated recent graduate or junior level professional to join their best in class Compliance function. This is an amazing opportunity for a recent graduate with strong academics from and relevant internships to build a career within Compliance at a top firm. Seeking 0-3 year junior candidate (Bachelor’s Degree), ideally compliance background/internships, top academics/good school. Strong communicator, self-starter/motivated/hardworking, keen on Compliance career for a few years

~Key responsibilities will include:
 Maintain policies and procedures related to personal trade clearance, gifts and entertainment approvals, and other central compliance functions
 Review personal trading clearance requests
 Coordinate 407 and Stop Letters for employee brokerage accounts
 Conduct reviews of personal trading activity
 Revise the Firm’s compliance manuals and written supervisory procedures
 Prepare annual compliance training for all employees
 Maintain the various compliance technology solutions implemented by the Firm
 Oversee the gifts and entertainment review process
 Assist with the firm-wide Annual Acknowledgement Form process
 Assist in internal audits and regulatory reviews
 Assist in development and implementation of policies and procedures in connection with changes in the regulatory landscape and industry best practices
 Perform project work and other tasks as required


~ Bachelor’s degree or equivalent
 Strong organizational, analytical and technical skills
 0-3 years of work experience (internships / full-time), ideally at major financial services firm in Compliance.
 Experience evaluating and implementing compliance systems
 Strong analytical, attention to detail and issue-spotting skills
 Ability to communicate confidently and effectively
 Ability to work independently but still be a strong team player
 Substantial initiative, creativity and drive