Compliance Analyst

23 hours, 6 minutes ago
Full-time
Junior
Legal
Soros Fund Management

Soros Fund Management

Soros Fund Management is a global asset manager and family office that specializes in investing across a diverse range of strategies and asset classes, focusing on long-term capital growth and high-quality returns.

Capital Markets
Founded 1970

Description

  • Manage compliance onboarding for new employees, including certifications and required training.
  • Maintain the restricted list and ensure issuer information remains accurate and up to date.
  • Administer Code of Ethics disclosures through ComplySci and support related policies and procedures.
  • Coordinate Federal Reserve regulatory filings, including TIC, SHCA, and SHLA reports.
  • Monitor U.S. and U.K. treasury auctions and escalate relevant findings to senior compliance staff.
  • Administer the Personal Account Dealing program, including pre-clearance, ongoing monitoring, and targeted reviews.
  • Provide support for ECM trading coverage on an as-needed basis.
  • Perform conflict checks related to employee and firm business activities and escalate issues when necessary.
  • Participate in compliance system evaluations, enhancements, and user acceptance testing.
  • Assist with drafting and updating policies, procedures, and the Compliance Manual.
  • Support broader compliance and firm-wide strategic initiatives as directed.

Requirements

  • Bachelor's degree required; coursework or concentration in finance, economics, law, or a related field preferred.
  • 2–4 years of relevant experience in asset management, regulatory agencies, financial services consulting, or a related compliance function.
  • Demonstrated interest in financial markets, investment management, and the regulatory environment.
  • Exceptional attention to detail and strong organizational skills.
  • Ability to manage multiple priorities with a high degree of accuracy.
  • Clear, professional written and verbal communication skills.
  • Strong analytical and critical thinking skills, including the ability to interpret regulatory guidance.
  • Ability to thrive in a fast-paced, deadline-driven environment while maintaining sound judgment.
  • Intellectual curiosity and eagerness to learn the business, regulatory landscape, and evolving compliance requirements.
  • Receptive to feedback, collaborative, coachable, and proactive in taking initiative and escalating appropriately.

Benefits

  • Base salary of $115,000 to $135,000.
  • Eligibility for a discretionary year-end bonus.

Interested in this position?

Apply directly on the company website

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