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Compliance Analyst

  • Location:

    New York

  • Sector:

    Compliance

  • Job type:

    Permanent.

  • Salary:

    $130,000

  • Contact:

    Ali Hughes

  • Contact email:

    ali@rutherfordsearch.com

  • Contact phone:

    +1 (332) 256 0130

  • Job ref:

    HUA11711

  • Published:

    over 1 year ago

  • Expiry date:

    2022-12-16

Our Client ​

Our client is a global hedge fund for the equity markets.

The Compliance Analyst will be based in New York, supporting all trade and investment processes through regulatory risk analysis, trade surveillance, market research, and other related risk assessments/testing.  

 

Main Duties

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

  • Surveillance: trading activity reviews, market abuse, insider trading, written supervisory procedures, investment guidelines, algo trading rules & regulations, alert escalation, etc.

  • Portfolio management: data integration, expert networks, trade approval, trade executions, Code of Ethics items

  • Regulatory risk: internal controls compliance with emerging market laws, trading rules, and infrastructure; develop relevant policies & procedures for trading and investments processes

 

Your Profile

  • 5+ years of trade & market surveillance experience at a hedge fund, regulator, or investment bank.

  • Advanced knowledge in US regulations (SEC, CFTC, NFA, etc) and the equity markets (commodities, derivatives, etc).

 

Base Salary: $120,000 - $150,000 plus discretionary bonus. Estimated comp depends on the candidate’s experience.

 

For more information about this position, please get in touch with Ali Hughes.
Email: ali@rutherfordsearch.com
Phone: +1 (332) 256 0130
Reference Code: 11711

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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.

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