Compliance Analyst

Title: Compliance Analyst - Code of Ethics

Location: Midtown Manhattan (onsite 3 days/week)

Compensation: $90K-$110K base + bonus

This role supports the Code of Ethics program of a $12B+ hedge fund in Midtown Manhattan.

Responsibilities:

• Coordinate ethics-related onboarding activities, including new-hire training and validation of employee brokerage and investment disclosures through the designated compliance platform


• Advise personnel on internal compliance requirements, policy interpretation, and appropriate procedures under the firm's conduct standards


• Investigate potential policy breaches, document findings, and escalate concerns to senior compliance leadership when appropriate


• Execute targeted testing and surveillance procedures to evaluate program effectiveness, and compile recurring employee trading analyses for management review


• Recommend enhancements to the organization's ethics framework and supporting compliance policies in response to regulatory developments and industry practices


• Identify ways to strengthen program oversight and operational efficiency through process improvements and emerging technology solutions


• Assess adherence to global standards across regional offices, coordinate with international stakeholders, and communicate significant observations to senior compliance personnel


• Manage assigned components of the quarterly employee compliance attestation and certification process

Qualifications:

• 1-3 years of compliance experience at a compliance consulting firm or RIA