Compliance Analyst
Deadline
Location
Greenwich, Connecticut, United States; New York, NY, USA; Norwalk, CT
Status
Source: Greenhouse (Verition Fund Management)
About this role
Firm Overview Verition Fund Management LLC (“Verition”) is a multi-strategy, multi-manager hedge fund founded in 2008. Verition focuses on global investment strategies including Global Credit, Global Convertible, Volatility & Capital Structure Arbitrage, Event-Driven Investing, Equity Long/Short & Capital Markets Trading, and Global Quantitative Trading. Role Overview We are seeking a Compliance Analyst to join our Legal/Compliance team based in New York, NY. As a Compliance Analyst, you will play a critical role in ensuring that all business practices adhere to internal ethical standards as well as regulatory requirements. This entry-level position is ideal for candidates who are looking to develop a career in compliance within the financial services industry. This person would work closely with the Legal/Compliance team on both Code of Ethics and the day-to-day compliance needs of a growing multi-strategy hedge fund. Responsibilities Monitor and enforce compliance with the company’s Code of Ethics, including oversight of personal trading, conflicts of interest, gifts and entertainment, and other ethical conduct policies. Assist in the development and implementation of compliance training programs for employees. Review securities transactions in accordance with the firm’s personal trading policy. Conduct periodic audits, testing, and reviews to ensure adherence to the Code of Ethics, documenting findings and recommend corrective actions, as necessary. Ongoing Monitoring, Review and Approval of Firm’s Expert Network consultations Collaborate with various departments on Compliance-related matters. Manage and maintain records of compliance and Code of Ethics activities. Assist with communications and trade surveillance. Assist with the preparation of periodic Regulatory filings Respond to queries from employees regarding compliance issues and provide guidance. Qualifications BA/BS or equivalent. 0-3 years of experience. Generalist compliance experience across trade surveillance, core compliance, code of ethics, reports, etc. Excellent written and verbal communication skills. High level of intellectual curiosity, strong work ethic, and a keen attention to detail. Ability to work effectively in a team-oriented, fast-paced, and dynamic environment. Ability to handle confidential information with discretion and a high degree of professionalism. Salary Range $80,000 — $100,000 USD
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