Junior Compliance Analyst

United States, Greenwich - CT

We are registered with the SEC, NFA/CFTC and FCA and we are seeking a Junior Compliance Analyst to support our Broker Dealer, Carlson Alternative Advisors LLC.


Description


Company Info:

Carlson Capital, L.P. is a multi-strategy, alternative asset management firm based in Dallas, Texas with office locations in New York, Greenwich, CT, Palm Beach, FL and London. We manage seven hedge fund groups with over $9 billion in equity assets under management. The firm was founded in October of 1993 by Clint Carlson.  We have 173 employees.  Our primary investment strategies include event-driven, relative value arbitrage (long/short equity pairs), cross-asset relative value arbitrage and long/short equity thematic.  Carlson Capital is an intense and dynamic business environment that provides an individual with the opportunity to think creatively and act upon their ideas.

Job Description:

We are registered with the SEC, NFA/CFTC and FCA and we are seeking a Junior Compliance Analyst to support our Broker Dealer, Carlson Alternative Advisors LLC.  This position will be based in either Dallas, TX or Greenwich, CT and reports directly to the Head of Surveillance.  Responsibilities will include:

  • Monitoring of electronic communications of the Broker Dealer’s Marketing personnel for adherence with Firm policies
  • Assist with review of marketing material
  • Communicate policies and rules to marketing staff
  • Assist with U4/U5 filings and continuing education requirements
  • Ability to handle escalations and communicate/advance those escalations to the Head of Surveillance as necessary.

Compensation:

Competitive salary, benefits and discretionary bonus offered.


Requirements


The ideal candidate will have 1-3 years of securities compliance experience and meet the additional following requirements:

  • BS (or equivalent) degree required;
  • 1-3 years of experience with a, regulatory body, broker-dealer, registered investment adviser/hedge fund, bank or;
  • Attention to detail and the ability to identify complex problems , review related information to develop and evaluate options;
  • Ability to handle tasks independently, and liaison with other departments when necessary;
  • Ability to work well in a team environment;
  • Critical thinking, the ability to use logic and reasoning to identify conclusions or approaches to problems; and
  • Excellent communication (written and verbal) skills.


Background


We are registered with the SEC, NFA/CFTC and FCA and we are seeking a Junior Compliance Analyst to support our Broker Dealer, Carlson Alternative Advisors LLC.


How to Apply


Contact:

Please upload your resume to our job page at www.carlsoncapital.comcareers

submit here 

Please quote the "HFM Jobs Board" in the subject line of your application



Become an HFM Member

HFM Membership is a unique intelligence and networking service providing actionable data, insights and contacts that enable you to better raise capital, comply with regulations and benchmark against peers.

  • +Specialist Networks for the latest industry trends
  • +Direct access to Industry Intelligence
  • +Benchmarking Your Firm
  • +Global Networking Opportunities
  • +Unique and Actionable Data Resources
  • +Dedicated Analysts and Account Handlers