A successful investment management firm that is part of a larger financial institution seeks a Compliance Analyst to oversee portfolio trading activities.


This role sits in the Investment Management Compliance team and will be responsible for a host of surveillance activities, with focus on three aspects of its Compliance program: 

  1. Forensics testing to ensure the firm’s trading activities comply with the firm’s policies
  2. Transactional support (IPO review and maintenance of restricted lists on a firm and account level) 
  3. Client reporting 

Key Responsibilities  

Functions include, but are not limited to the following:

Forensic Monitoring: Performing a variety of forensic testing to ensure compliance with regulations and company policies and procedures. 

This includes forensic testing on:

  • Insider trading
  • Due diligence on expert network meetings
  • Aggregation and allocation processes
  • Conflicts of Interest
  • Quantitative models

Review IPO and secondaries for broker restriction and ERISA eligibility

  •  Help maintain the enterprise-wide restriction list
  •  Assist the team with the preparation of customized monthly, quarterly client and mutual fund compliance reports
  • Ad hoc support to the compliance department on an as-needed basis
  • Potentially support basic coding of standard guidelines in our proprietary compliance engine  


  • Bachelor’s Degree preferred
  • Minimum of 3 years’ experience working at an investment management firm in any combination of  Compliance, Portfolio Administration or Operations
  • Strong ability to develop effective working relationships with colleagues and make articulate recommendations regarding potential solutions to issues
  • Energized by a fast-paced environment

 Please email resumes to Jack Kelly at JKelly@ComplianceSearch.com.

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