Investment Compliance Analyst

We're working with a leading global alternative investment firm to add an Investment Compliance Analyst to the New York team.The position will support the firm’s information-barrier and conflicts framework, including MNPI controls, watch and restricted lists, trade surveillance and employee compliance. It offers regular interaction with investment professionals, Legal and Compliance teams across a global business.Key ResponsibilitiesIdentify, escalate and help manage potential conflicts of interestMaintain watch and restricted listsSupport MNPI controls, wall-crossings and information barriersReview employee trading, private investments and outside business activitiesConduct trade and electronic communications surveillanceImplement and monitor temporary information barriersCoordinate with investment teams, Legal, Compliance and external counselReview and process firm trade requestsSupport related policies, systems and compliance projectsRequirements1 - 3 years of relevant financial-services compliance experienceExperience in investment compliance, surveillance, control room, employee compliance, conflicts or a related areaFamiliarity with MNPI, information barriers, watch and restricted lists, or personal tradingKnowledge of the Investment Advisers Act and relevant SEC or FINRA requirements is advantageousStrong judgment and the confidence to identify and escalate potential issuesExcellent organization, attention to detail and communication skillsAble to manage competing priorities and deadlines in a fast-paced environmentSIE or FINRA qualifications helpful; sponsorship is available where required