Compliance Associate - Global Investment Bank & Asset Manager

  • Base salary, bonus and excellent benefits.
  • New York, NY, USA New York NY US
  • Permanent, Full time
  • The Forum Group
  • 19 Apr 18 2018-04-19

Our client a well regarded, global bank, is looking for a New York-based Compliance Officer who will assist with both broker dealer and asset management compliance. The US broker dealer business includes research, wealth management, institutional trading and investment banking. The US registered investment adviser provides investment advisory services to private funds and separately managed accounts on both a discretionary and non-discretionary basis.

~Responsibilities will include:
 Implement and supervise new controls and market best practices regarding market
manipulation surveillance, best execution and suitability.
 Identify and investigate suspicious cash movements and trades across global markets
and different product types including equities, fixed income, derivatives, and FX.
 Advise on AML, KYC and related matters including the review and approval of wires
and new accounts.
 Personal account dealing surveillance.
 Electronic communication surveillance.
 Assist with regulatory reporting including 13F, 13G, 13H, Form PF, Form PQR and
 Chaperone conversations between investment personnel and third party consultants.
 Assist in responding to regulatory inquiries.
 Ensure that all required documentation is properly maintained by the Firm.
 Assist with maintaining and updating policies and procedures.
 Assist with compliance training programs.
 Review and approve marketing materials.
 Bachelor’s degree.
 2+ years compliance experience. Broker dealer and hedge fund compliance
experience preferred.
 Familiarity with different financial products and markets.
 AML experience a plus.
 Advanced Excel knowledge.
 Strong communicator, comfortable in presenting and explaining analysis.
 Ability to work with and consult individuals at all levels of an organization.
 Team player with great attitude and work ethic. Interest in working with a global
team and business.
 Strong analytical and critical thinking skills, sound judgment and decision-making
 A results-oriented and resourceful individual who is capable of quickly taking control
of his/her responsibilities and establishing himself/herself as a credible and creative
business partner.
 Language skills a plus including Portuguese and Spanish.