Soros Fund Management LLC
Asset Management
JuniorComplianceAnalyst
“Junior Compliance Analyst at Soros Fund Management LLC. Skills: Compliance, Regulatory Filings, Personal Account Dealing, Code of Ethics. Manage compliance onboarding for new employees. Maintain the restricted list”
What You'll Achieve.
ensuring submissions are accurate and timely; ensuring ongoing accuracy of issuer information; ensuring adherence to firm requirements; contribute to our long-term success; contribute to our long-term success
Industry & Context.
analytical and critical thinking skills; ability to interpret regulatory guidance; apply it to firm policies and procedures; solutions-oriented mentality
What They're Looking For.
Must Have
2–4 years of relevant experience in asset management business, regulatory agencies, financial services consulting, or a related compliance function, Bachelor's degree coursework or concentration in finance, economics, law, or a related field
Nice to Have
CFA, CPA, FRM, Series 7, Series 63, Series 65, CAIA, CFP, ACCA, ACA
What You'll Do.
Manage compliance onboarding for new employees
Maintain the restricted list
Administer Code of Ethics policies
Coordinate regulatory filings
Monitor US and UK treasury auctions
Administer the Personal Account Dealing (PAD) program
Perform conflict checks
Assist in drafting and updating policies
How You'll Work.
Team & Collaboration
cross-team collaboration strengthens our conviction; Operating as a unified team across geographies; contribute to a positive team environment
Communication Scope
Clear and professional written and verbal communication skills; ability to convey compliance requirements effectively across teams
Applying for this Junior Compliance Analyst role?
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