Compliance Analyst
Firm Overview
Verition Fund Management LLC (“Verition”) is a multi-strategy, multi-manager hedge fund founded in 2008. Verition focuses on global investment strategies including Global Credit, Global Convertible, Volatility & Capital Structure Arbitrage, Event-Driven Investing, Equity Long/Short & Capital Markets Trading, and Global Quantitative Trading.
Role Overview
We are seeking a Compliance Analyst to join our Legal/Compliance team based in New York, NY. As a Compliance Analyst, you will play a critical role in ensuring that all business practices adhere to internal ethical standards as well as regulatory requirements. This entry-level position is ideal for candidates who are looking to develop a career in compliance within the financial services industry. This person would work closely with the Legal/Compliance team on both Code of Ethics and the day-to-day compliance needs of a growing multi-strategy hedge fund.
Responsibilities
- Monitor and enforce compliance with the company’s Code of Ethics, including oversight of personal trading, conflicts of interest, gifts and entertainment, and other ethical conduct policies.
- Assist in the development and implementation of compliance training programs for employees.
- Review securities transactions in accordance with the firm’s personal trading policy.
- Conduct periodic audits, testing, and reviews to ensure adherence to the Code of Ethics, documenting findings and recommend corrective actions, as necessary.
- Ongoing Monitoring, Review and Approval of Firm’s Expert Network consultations
- Collaborate with various departments on Compliance-related matters.
- Manage and maintain records of compliance and Code of Ethics activities.
- Assist with communications and trade surveillance.
- Assist with the preparation of periodic Regulatory filings
- Respond to queries from employees regarding compliance issues and provide guidance.
Qualifications
- BA/BS or equivalent.
- 0-3 years of experience.
- Generalist compliance experience across trade surveillance, core compliance, code of ethics, reports, etc.
- Excellent written and verbal communication skills.
- High level of intellectual curiosity, strong work ethic, and a keen attention to detail.
- Ability to work effectively in a team-oriented, fast-paced, and dynamic environment.
- Ability to handle confidential information with discretion and a high degree of professionalism.