Description

Our client seeks a Compliance Specialist for its investment management division in New York, NY. This role offers the chance to work in a collegial environment emphasizing rigorous analysis and intellectual inquiry. You will support research business platforms, collaborating with leading scientists, technologists, and academics dedicated to advancing finance, data, and technology.

Key Responsibilities:
In the capacity of Compliance Specialist - Investment Management based in New York City, you will be immersed in an intellectually stimulating environment where your expertise will be instrumental in upholding the integrity of research operations. Your remit will encompass managing contributor onboarding processes across multiple research platforms while ensuring comprehensive compliance oversight throughout all business lines. You will play a central role in shaping internal policies that are attuned both to prevailing regulations and anticipated industry developments. By working alongside legal professionals on contractual matters as well as partnering with engineers on system integrations for surveillance purposes, you will help maintain exemplary standards of regulatory observance. Your ability to deliver effective training sessions will empower colleagues at every level to navigate complex compliance landscapes with assurance. Success in this role necessitates not only technical proficiency but also refined interpersonal skills as you cultivate trusted relationships across departments whilst remaining vigilant regarding industry evolution.

• Supervise the onboarding process for contributors across diverse research and insight platforms, ensuring seamless integration of sell-side professionals, financial experts, and public company executives.
• Administer compliance programs for a broad spectrum of internal analysts and research platforms with particular emphasis on discretionary and fundamental research activities.
• Formulate, implement, and standardize internal policies across multiple teams to guarantee consistent adherence to regulatory requirements.
• Engage closely with business partners to discern their specific needs while providing bespoke compliance support for emerging initiatives.
• Collaborate with in-house legal professionals regarding counterparty contracts and licensing agreements within the research domain.
• Conduct comprehensive research into evolving laws and regulations impacting financial information dissemination, securities trading practices, investment management protocols, technological advancements, and machine learning applications.
• Test and monitor compliance through advanced integrations with data systems and software tools whilst working collaboratively with engineering teams.
• Deliver informative training sessions for business partners on revised policies and procedures to foster understanding and adherence throughout the organization.
• Remain apprised of industry developments by monitoring technological innovations and emerging compliance matters pertinent to various investment management business lines.

Key Requirements:
To excel as a Compliance Specialist - Investment Management within this forward-thinking institution, you will bring demonstrable experience navigating multifaceted regulatory environments in the financial sector. Your background may encompass roles such as compliance officer or regulatory consultant, wherein you cultivated deep familiarity with both buy-side and sell-side research programs. You are adept at translating complex legal requirements into practical policies accessible to non-specialists. Your approach is grounded in empathy - ensuring stakeholders feel supported as they adapt to new procedures - and your communication style engenders trust at all levels of the organization. You flourish when collaborating on multidisciplinary projects involving legal experts or technology teams. Your commitment to ongoing learning ensures you remain conversant with emerging trends such as machine learning applications or evolving securities regulations. Above all else, your dedication to maintaining ethical standards serves to safeguard both the reputation of the firm and the interests of its clients.

• Possess four to seven years of experience as a compliance professional or regulatory lawyer, or have served as a regulatory consultant within the financial sector.
• Demonstrate exceptional analytical abilities coupled with an authentic curiosity about finance, data science, and technology-driven solutions.
• Exhibit outstanding organizational skills along with proficiency in designing efficient processes, workflows, and documentation systems that enhance operational effectiveness.
• Showcase experience constructing or operating testing frameworks or surveillance systems reliant on sophisticated data integrations; comfort collaborating closely with engineers is essential.
• Display aptitude for independent learning concerning new areas of law or risk while proactively identifying potential compliance issues associated with innovative business models.
• Have enthusiasm for addressing novel or intricate challenges by formulating clear recommendations that support both commercial objectives and regulatory obligations.
• Communicate proficiently with cross-functional teams, including legal counsel, project managers, analysts, engineers, and senior leadership.
• Maintain scrupulous attention to detail when reviewing contracts or implementing policy changes across varied business units.
• Bring an inclusive perspective that values collaboration within multicultural teams whilst consistently upholding ethical standards.

What sets this company apart:
This institution distinguishes itself as a global leader in financial sciences by cultivating an environment where intellectual curiosity is harmoniously aligned with tangible impact.