Robert Half Finance and Accounting has teamed up with a world class private equity firm (over $4 billion in AUM) to assist in the recruitment of a Compliance Analyst Manager. This role will be responsible for complex compliance analysis related to legal and investment issues that affect the firm; the role will also work with the CFO to handle some budgeting and financial analysis. To be considered for this role, candidates must have experience doing compliance in the asset management space for an “RIA” or “Registered Investment Advisor.” Please email your background to [Click Here to Email Your Resumé]
or you can call Chris Willhite at 972-789-9590. Here is a detailed job description: Must have RIA experience (no exceptions). The private equity firm is an institutional investor base includes corporations, endowments, foundations, pension funds, banks, insurance companies, and funds of funds. The firm's investment philosophies include the primacy of idiosyncratic risk management, exploring market inefficiencies, fundamental research and active investment management. The investment firm has an immediate opening for bright, Compliance Analyst for the Legal and Compliance departments. Our professional organization seeks a qualified candidate who performs well under pressure, prioritizes effectively, and enjoys working in a very fast paced environment. The Compliance Specialist will be responsible for assisting the Legal Department in managing the firm's compliance platform, including implementation of new policies and procedures, monitoring and testing of existing and new policies and procedures and maintenance of the firm's books and records. Responsibilities Quarterly and annual back-testing of policies and procedures relating to, among others: best execution, allocations, personal and client account trades, valuation and fund share pricing, marketing review processes, disaster recovery, Code of Ethics procedures and records retention Maintenance of firm restricted list and compliance with all applicable securities law and contractual transfer restrictions relating to equity trades (includes primary interface with firm trade order management system) Reconciliation of brokerage statements relating to employee personal trades Preparation and scheduling of compliance, proxy voting, and best execution committee meetings Monitoring of company email and assistance with the firm's annual review Work with CFO on budgeting, forecasting and external investor reporting Qualifications 4-7+ plus years of compliance experience in corporate finance, investment advisory or corporate banking Exposure to bank loans, bonds and equities a plus Excellent verbal/written communication skills Superior work ethic and professional habits Strong MS Office and computer skills Please email your background to [Click Here to Email Your Resumé]
or you can call Chris Willhite at 972-789-9590.
REQUIRED - experience doing compliance for a Registered Investment Advisor (RIA)
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