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PORTFOLIO OPERATIONS COMPLIANCE ANALYST COMPANY OVERVIEW Our client is a well-established financial services firm seeking a compliance individual to join their growing team. This position is starting on a temporary basis and has no set end date at this time. POSITION SUMMARY We are seeking a Compliance Analyst to be based in New York. This is a unique opportunity to join a ‘best-in-class' compliance and work closely with the Credit Compliance team to provide oversight and monitoring to the Firm's trading platform and activities. TRADE CONTROLS • Facilitate pre-trade compliance controls and analysis—including management of the Firm's security master and sensitive data points. • Perform due diligence on new and ongoing counterparties • Participate in Daily Trade Review • Oversee review of re-allocations, best execution activity and trade overrides. • Build out oversight controls, as necessary, and developing a subject-matter expertise to effectively identify and address any oversight gaps relating to the Firms trading activity. • Assist in identification and remediation of trade and operational-related trade errors and issues. PORTFOLIO COMPLIANCE • Provide assistance in onboarding new client accounts. • Management of Portfolio and Client Restricted Lists (i.e. affiliated investments) • Manage the execution of the Firm's Proxy Voting • Assist with management of Certifications (“CERTS”) process in Firm's proprietary workflow tool. GENERAL • Play a key role in the identification and implementation of technical solutions that drive efficiency and increase oversight of ever-growing business. • Participate in regulatory / industry initiatives relating to new regulations and other issues relevant to the asset management business, coordinating with the wider Legal/Compliance team. • Assist with drafting policies and procedures relevant to supporting the business. KEY EXPERIENCE AND ATTRIBUTES • Minimum of 2-5 years of strong trading desk / front office regulatory compliance gained within a credit asset management environment. • Legal experience / background useful but not essential. • Enthusiasm, motivation, curiosity and the ability to be proactive. • Solution-oriented self-starter with high integrity. • Strong project-management skills. • Consistent attention to detail; acts professionally regarding sensitive subjects and maintains confidentiality while exercising discretion at all times. • Sound interpersonal skills and relationship building abilities. • Effective communication skills including strong written communication skills for report writing and analysis. • Proven ability to manage multiple demands and projects in a fast-paced work environment, including ability to prioritize time efficiently and handle heavy workloads while remaining attentive to detail. • Advanced computer literacy including Microsoft Office (PowerPoint and Excel). • Good with technology and an interest in learning new systems. Ability to communicate complex systems in a digestible manner.