Support the Legal/Compliance team by monitoring and enforcing the Code of Ethics, reviewing personal trading and conflicts, conducting audits and trade surveillance, maintaining compliance records, assisting regulatory filings and training, reviewing expert network consultations, and responding to employee compliance queries.
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.
Title: Compliance Analyst
Location: New York, NY or Greenwich/Norwalk, CT
Desired Years of Experience: 0-3 years
Summary:
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.
Key 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.
- Generalist compliance experience across trade surveillance, core compliance, code of ethics, reports, etc.
- Excellent analytical, organizational, and communication skills.
- Detail-oriented with a high degree of integrity and professionalism.
- Ability to handle confidential information with discretion.
Salary Range
$80,000—$100,000 USD
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