Compliance Generalist

New York, New York • $110,000-$120,000

About the Company:

Our client is a global investment manager specializing in liquid real assets within real estate, infrastructure, and natural resource equities. They are seeking a Compliance Generalist who will assist in the firm’s compliance program, personal trading policy, reviewing electronic messages, back-end reporting, and reporting to senior management.

 

Responsibilities:

  • Schedule meetings, maintain calendars, prepare departmental invoices, and prepare expense reports for reimbursement
  • Support Compliance department as it relates to general administrative related functions
  • Coordinate and arrange travel and handle incoming mail
  • Conduct compliance reviews, testing, and monitoring of compliance policies and procedures
  • Update weekly email counts and perform electronic message review
  • Assist with administration of the firm’s personal trading policy, including monitoring employee personal trading activities, resolving exceptions, and maintaining satisfactory records using an automated personal trading system

 

Requirements:

  • Bachelor’s degree required
  • 1-3 years of experience in a compliance administrative/generalist role
  • Experience with order management systems a plus
  • Series 7 required

 

 

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