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Date Last Verified
Years of Experience
ProfileCompliance Analyst The candidate will be responsible for oversight of the investment portfolios of the New York City Retirement Systems (Systems). Will help to document protocols and monitor regulatory compliance, both within the Comptroller’s Bureau of Asset Management and beyond, in the conduct of external managers, parent companies, affiliates, joint venture partners, as well as the manager’s delegates, on a range of issues relevant to the financial services industry from AML to FCPA to risk tolerances. Report directly to the Chief Compliance Officer and working with the compliance staff, the Compliance Analyst’s responsibilities include: Working with compliance team to resolve all portfolio trades and investments that do not comply with investment policy statements and investment guidelines; Assisting the Compliance team in developing and enforcing policies and procedures for within BAM’s compliance department; Working with the Compliance team and the Office of the General Counsel in reviewing public markets investment managers and consultants’ compliance with regulatory and Board policy requirements, including but not limited to: pay-to-play, OFAC, FCPA, AML and general Code of Ethics requirements; and Conducting special projects as required by the Chief Compliance Officer.
Qualification and Experience
The candidate should have a baccalaureate degree from an accredited college or university, including or supplemented by 24 semester credits in accounting, business administration, economics, finance, law, mathematics, and/or statistics and one year of satisfactory full-time experience in investment activities of a governmental agency, financial institution, or brokerage firm; or A baccalaureate degree from an accredited college or university and two years of satisfactory full-time experience in investment activities of a governmental agency, financial institution or brokerage firm. Should have 2+ years of progressively responsible experience in a compliance role with a large and/or complex registered investment advisor or broker/dealer, or in a closely related capacity.
Job ID: 312846
New York City Office of the Comptroller
1 Centre Street
New York City, NY 10007