New York Compliance Analyst

Company DescriptionSoros Fund Management LLC (SFM) is a global asset manager and family office founded by George Soros in 1970. With $28 billion in assets under management (AUM), SFM serves as the principal asset manager for the Open Society Foundations, one of the world's largest charitable foundations dedicated to advancing justice, human rights, and democracy.Distinct from other investment platforms, SFM thrives on agility, acting decisively when conviction is high and exercising patience when it's not. With permanent capital, a select group of major clients, and an unconstrained mandate, we invest opportunistically with a long-term view. Our teams operate with autonomy, while cross-team collaboration strengthens our conviction and empowers us to capitalize on market dislocations.At SFM, we foster an ownership mindset, encouraging professionals to challenge the status quo, innovate, and take initiative. We prioritize development, enabling team members to push beyond their roles, voice bold ideas, and contribute to our long-term success. This culture of continuous growth and constructive debate fuels innovation and drives efficiency.Our impact is measured by both the returns we generate and the values we uphold, from environmental stewardship to social responsibility. Operating as a unified team across geographies and mandates, we remain committed to our mission, ensuring a meaningful, lasting impact.Headquartered in New York City with offices in Greenwich, Garden City, London, and Dublin, SFM employs 200 professionals.Position OverviewSFM seeks a business-minded Compliance Analyst to join its team based in the New York office and support the firm's global compliance and regulatory program (e.g., U.S., U.K. and Ireland). This candidate will work closely with the firm's investment professionals, members of the Legal and Compliance Department and other key stakeholders across the firm on a broad range of investment advisory, regulatory and compliance matters. The ideal candidate will have a specific knowledge of asset management investment and trading activities.Reporting to the firm's Deputy Chief Compliance Officer, the successful candidate will provide assistance in overseeing a broad range of compliance and regulatory matters and have responsibility for updating and maintaining certain of the firm's compliance policies and procedures, including with respect to a multitude of asset classes and products that may be managed internally or by third-party asset managers. Additionally, the candidate will be expected to assist in building out new policies, procedures and compliance programs for both private and publicly traded assets (including, equities, fixed-income and credit products, fund investments and other private equity investments), as needed.Key RelationshipsReports To: Deputy Chief Compliance OfficerOther Key Relationships: General Counsel and CCO, Legal Department, Portfolio Managers & Analysts, Trade Execution Desk, Trade Support, TechnologyPrimary ResponsibilitiesProvide compliance guidance and support for investment and trading activities, and approvals for trading requests through the firm's order management system and related compliance toolsManage compliance processes including pre and post trade compliance oversight, the receipt of MNPI, wall crossings and the firm's restricted listAssist with the firm's centralized compliance program covering the Code of Ethics policies, restricted list maintenance, data room monitoring, and surveillance of trading activity and electronic communicationsAssist with US regulatory filings and disclosuresPartner with Portfolio Managers and Traders to understand the scope of securities they are tradingmonitoring to pre-empt restrictions that may predicate trading activityEducate and train employees on compliance issues and industry developmentsBe a resource for business teams to resolve compliance issues in accordance with industry regulations and firm policiesFlexibility to provide ad hoc compliance coverage to the firm's London office when the local compliance officer is unavailable RequirementsUndergraduate to graduate level degree5 -10 years of experience in asset management or hedge fund complianceKnowledge of asset management and broker dealer regulatory rules and requirementsKnowledge and experience with a broad range of industry products and asset classesStrong written and oral communication skillsOrganized and self-motivated with strong attention to detailAble to multi-task in a dynamic high-pressure environmentExperience working directly with investment and trading professionalsWhat We Offer: We anticipate the base salary of this role to be between $150,00 and $200,000. In addition to a base salary, the successful candidate will also be eligible to receive a discretionary year-end bonus.Available Benefits Include (i) a daily meal allowance, (ii) health, vision, dental and disability insurance, (iii) a generous PTO and parental leave policy, (iii) an employer-sponsored 401k plan (eligible for employer matching), and (iv) a 3:1 employer matching gifts program for 501c(3) or equivalent qualified organizations.Opportunities for professional development and growth.A collaborative and inclusive work environment.The chance to make a meaningful impact on global labor practices and human all respects, candidates need to reflect the following SFM core values:Integrity Teamwork Smart risk-taking Owner's Mindset Humility

Created: 2025-03-01