The firm is an independent, privately-owned investment management firm headquartered in New York with approximately $110 billion in assets under management. Dedicated to providing prudent stewardship of client assets, the firm focuses on active, fundamental and benchmark-agnostic investing, with a strong emphasis on downside protection. Over a long history dating back to 1864, the firm has helped its clients avoid permanent impairment of capital and earn attractive returns through widely varied economic cycles—a tradition that is central to its mission today. The firm’s investment capabilities include equity, fixed income, alternative credit, and multi-asset strategies.

The firm is seeking a Senior Compliance Analyst for the Legal and Compliance team. The successful candidate will be responsible for the below responsibilities and have the following qualifications for this role:

Primary Responsibilities:

  • Prioritize and review advertising/marketing materials including RFPs/RFIs/DDQs within timeframes to ensure compliance with FINRA/SEC rules and regulations across multiple product and business lines such as mutual funds, Institutional strategies, interval funds, BDCs
  • Review advertising/marketing for non-U.S. jurisdictions including but not limited to EMEA and Asia
  • Provide timely, creative, clear, and thoughtful guidance to other departments and team members on advertising/marketing compliance matters for existing products and new product launches
  • File advertising/marketing materials with FINRA
  • Monitor the approved social media program
  • Create and deliver compliance training when required
  • Collaborate, develop and nurture professional relationships with team members and high-profile internal clients
  • Assist the compliance team in monitoring and testing related to 206(4)-7 and 38a-1
  • Perform e-communication surveillance
  • Assist on special projects and ad hoc assignments


  • Undergraduate Degree, business or related field preferred; Advanced degree a plus
  • Minimum 3-5 years of compliance experience with an asset management firm or regulatory experience
  • Series 7 and 24 preferred
  • Knowledge of the Investment Advisers Act of 1940, and Investment Company Act of 1940
  • Knowledge of FINRA regulation
  • Knowledge of Financial Conduct Authority regulation a plus

Personal Attributes:

  • Self-starting, and resourceful – someone who “makes it happen”
  • Ability to manage multiple tasks
  • A collegial and collaborative team player capable of partnering both internally and externally
  • Strong sense of personal accountability and a work ethic to do what it takes to get the job done
  • Excellent judgment and ability to handle business matters in a fair and consistent manner
  • Strong relationship management skills, and the ability to communicate effectively
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