5 дней назад
Compliance Analyst, Core Compliance (AI)
Мэтч & Сопровод
Для мэтча с этой вакансией нужен Plus
Описание вакансии
Текст:
TL;DR
Compliance Analyst, Core Compliance (AI): Administering core compliance workflows for an asset management firm with an accent on regulatory testing, employee compliance, conflicts of interest, personal trading, and policy management. Focus on redesigning repetitive processes into AI-assisted or automated workflows, analyzing compliance data, and supporting strategic regulatory initiatives.
Location: Hybrid, with an onsite requirement of four days per week at the Westport, CT campus and occasional travel to the NYC campus
Wage range: $130,000–$180,000, inclusive of base salary and discretionary bonus. Expected base salary is 80–90% of the wage range.
Company
Associates is an asset management firm serving global institutional investors through research-driven investment strategies and technology-enabled processes.
What you will do
- Administer core compliance workflows including onboarding, conflicts of interest, personal trading, testing, violations, and training.
- Execute compliance tests and monitoring activities, evolve existing processes, design new processes, and analyze results.
- Review, draft, and maintain compliance policies and procedures aligned with regulatory requirements.
- Identify repetitive manual processes and lead or co-lead their redesign into AI-assisted or automated workflows.
- Support employee compliance onboarding and provide guidance on day-to-day compliance obligations.
- Partner with senior compliance leaders on strategic initiatives and essential workstreams.
Requirements
- 2–4 years of compliance experience focused on financial services regulation; candidates with slightly less experience and strong regulatory fundamentals may be considered.
- Familiarity with the Investment Advisers Act.
- Strong project management, logical reasoning, communication, interpersonal, and analytical skills.
- Ability to operate proactively and independently across end-to-end processes while exercising discretion and ethical judgment.
- Willingness to learn and adopt new software and AI tools, with basic comfort using spreadsheets and databases to identify patterns or anomalies.
- Professional, team-oriented approach with a strong work ethic and commitment to continuous improvement.
Nice to have
- Experience with employee trade surveillance platforms and compliance monitoring tools.
- Hands-on experience using generative AI for drafting, summarizing, or analyzing compliance documents.
- Data management, analysis, spreadsheet modeling, or advanced Excel experience.
- Familiarity with Bloomberg Terminal, financial markets, financial instruments, alternative investment managers, or private funds.
Culture & Benefits
- Culture centered on transparency, direct feedback, humility, continuous improvement, and meritocracy.
- Opportunities for professional development, personal growth, and challenging work.
- Competitive benefits package.
- Immigration sponsorship is not provided for this position.
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