The Compliance team administers governance programs; serving as point-of-contact with regulators and acting in an advisory capacity on regulatory and business developments in a dynamic, evolving regulatory setting.
Job Responsibilities
- Performing day-to-day and project work supporting the team in upkeep of compliance files and records in order to gain knowledge of applicable regulatory and recordkeeping requirements
- Updating policies and procedures
- Conducting transaction review and surveillance, internal investigations
- Preparing transaction review and surveillance reports for senior compliance management
- Assisting senior compliance management with interactions with regulators and preparing regulatory filings and reports
Qualifications, Skills and Requirements
- Rising seniors who are interested in a future career at a top-tier alternative asset financial services firm
- Cumulative GPA of 3.5 and above
- Excellent problem-solving, communication, teamwork and analytical skills
- Major in Finance, Accounting, Economics, Marketing, Data Analytics, Pre-Law or other Business-related focus
- Strong technical skills (Excel, PowerPoint, etc.)
The estimated annual salary for this position is $75,000, which is specific to New York and may change in the future.
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