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Compliance Analyst

  • Location:

    New York

  • Sector:


  • Contact:

    Ali Hughes

  • Contact email:

  • Contact phone:

    +1 332 256 0130

  • Job ref:


  • Published:

    almost 2 years ago

  • Expiry date:


Our Client

Our client, a leading global alternative asset management group, is currently looking for a Compliance Analyst for its New York office. The firm works across a wide range of asset classes, which include private equity, real assets and more, and are known for their ESG focus.

The successful candidate will report into the firm's Chief Compliance Officer. This is a fantastic opportunity to gain wide compliance exposure and to support the CCO in enforcing the Compliance program in North America.

Main Duties

Key responsibilities for this position will include, but are not limited to:

  • Review and update compliance policies and procedures

  • Perform periodic compliance controls over the firm's activities

  • Provide assistance with investment compliance

  • Review and approve marketing materials

  • Run conflict checks on investment opportunities

  • Administer the company's Code of Ethics

  • Coordinate periodic compliance reporting

  • Coordinate regulatory filings

  • Develop compliance training and material and deliver said training to members of staff

  • Contribute to global compliance projects

Your Profile

  • Educated to a degree levle, preferably in Finance, Economics or Business

  • Between 1-3 years of compliance experience within financial services

  • A strong working knowledge of regulations

For more information about this position, please get in touch with Ali Hughes.
Phone: +1 332 256 0130
Reference Code: 11439

About Rutherford
Rutherford is a boutique search firm located in London. Our consultants are the executive specialists in compliance recruitment, and also in financial crime, legal and cyber security, all within the financial and professional services sectors in the United Kingdom and New York. We use our carefully curated relationships, networks and market knowledge to find the best fit for the clients in hand. We work with a wide range of clients, spanning from advisors, management consultants, corporate and commercial banks, brokers, exchanges, MTFs and financial tech, through to global investment managers, hedge funds, private equity firms, investment banks and technology firms. We began as a compliance recruitment firm in London and expanded to offer new resourcing expertise across legal and cyber recruitment. We have been a leading legal and compliance search agency in London for a decade and are excited about bringing our expanded offering into the technology area.