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Compliance Analyst in New York at Elevate

Date Posted: 7/8/2018

Job Snapshot

Job Description

Elevate’s customer, a Top-tier Investment Bank, is looking for a Compliance Analyst to assist the Advisory Compliance team on site for 3-6 months in its offices.     

Specifically you will be:

  • Providing compliance guidance to investment professionals and traders with respect to regulatory issues.
  • Reviewing investment management agreements to ensure that all regulatory representations have been included. 
  • Conducting re-performance reviews of trade surveillance activities. 
  • Providing Compliance representation in the client take-on process for new segregated accounts and funds. 
  • Prepare responses to monthly and quarterly client questionnaires. 
  • Reviewing market abuse compliance.


  • 5+ years of strong asset management industry experience. 
  • Considerable experience providing compliance advisory support to Investment Management investment teams. 
  • Working knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, UCITS, and other securities laws and applicable regulations.

Skills for Success:

  • Excellent oral and written communication skills, demonstrated leadership ability to handle highly confidential and sensitive information.
  • Excellent analytical skills.
  • Proven ability to work in a client-centric, deadline driven environment.
  • Attention to detail and superior reading comprehension.
  • Rapid turnaround in a fast-paced environment is a must.


  • BA/BS required.

Elevate is the law company. We provide consulting, technology and services to law departments and law firms. Our global team of lawyers, engineers, consultants and business experts improve efficiency, quality and outcomes for customers worldwide. Elevate’s achievements and distinctions include:

  • Ranked on the Inc. 5000 list of Fastest-Growing Private Companies two years in a row.
  • Ranked as a top Global Services Provider by Chambers & Partners three years in a row.
  • Lead Partner of the FT Innovative Lawyers Awards.

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