Compliance Analyst (Asset Management)

Compliance & Operations Analyst

Location: Midtown Manhattan (Hybrid: 4 days in-office, Fridays remote)
Compensation: $65,000 – $70,000

Overview

An established asset management firm managing global investment products is seeking a Compliance & Operations Analyst to join its lean and collaborative compliance function. This is a hands-on role offering strong exposure to fund operations, regulatory compliance, and cross-functional processes across ETFs, UCITS, and private funds.

Ideal for candidates in the early stages of their career, this opportunity provides a front-row seat to a broad range of investment product lifecycles and compliance responsibilities.

Key Responsibilities

Compliance Support

  • Assist with the execution and documentation of ongoing compliance testing and monitoring

  • Maintain compliance calendars, manuals, and policies in coordination with the compliance team

  • Prepare and support regulatory filings (Form ADV, Form PF, UCITS filings, etc.)

  • Monitor Code of Ethics activities (personal trading, OBAs, personal investments)

  • Support third-party oversight including sub-advisers and service providers

Operational Support

  • Contribute to product launch workflows and fund lifecycle tracking

  • Assist with fund registration documents, DDQs, and public disclosures

  • Support international cross-listings and exchange registration efforts

  • Identify opportunities for process improvements and automation across compliance and operations

Qualifications

  • Bachelor’s degree required (finance, accounting, or business-related field preferred)

  • 1–3 years of experience in fund operations, compliance, or middle/back-office roles

  • Familiarity with the Investment Advisers Act of 1940 and/or UCITS is preferred

  • Strong Excel skills and ability to work with detailed data sets

  • Organized, analytical, and comfortable managing multiple priorities under tight timelines

  • Self-starter with a curiosity for how operational and regulatory processes intersect
    #acgresourcesjobs

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Job Ref: 15017

Salary: $65000 – $70000

Compliance & Operations Analyst

Location: Midtown Manhattan (Hybrid: 4 days in-office, Fridays remote)
Compensation: $65,000 – $70,000

Overview

An established asset management firm managing global investment products is seeking a Compliance & Operations Analyst to join its lean and collaborative compliance function. This is a hands-on role offering strong exposure to fund operations, regulatory compliance, and cross-functional processes across ETFs, UCITS, and private funds.

Ideal for candidates in the early stages of their career, this opportunity provides a front-row seat to a broad range of investment product lifecycles and compliance responsibilities.

Key Responsibilities

Compliance Support

  • Assist with the execution and documentation of ongoing compliance testing and monitoring

  • Maintain compliance calendars, manuals, and policies in coordination with the compliance team

  • Prepare and support regulatory filings (Form ADV, Form PF, UCITS filings, etc.)

  • Monitor Code of Ethics activities (personal trading, OBAs, personal investments)

  • Support third-party oversight including sub-advisers and service providers

Operational Support

  • Contribute to product launch workflows and fund lifecycle tracking

  • Assist with fund registration documents, DDQs, and public disclosures

  • Support international cross-listings and exchange registration efforts

  • Identify opportunities for process improvements and automation across compliance and operations

Qualifications

  • Bachelor’s degree required (finance, accounting, or business-related field preferred)

  • 1–3 years of experience in fund operations, compliance, or middle/back-office roles

  • Familiarity with the Investment Advisers Act of 1940 and/or UCITS is preferred

  • Strong Excel skills and ability to work with detailed data sets

  • Organized, analytical, and comfortable managing multiple priorities under tight timelines

  • Self-starter with a curiosity for how operational and regulatory processes intersect
    #acgresourcesjobs

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