Senior Investment Compliance Analyst

City of New York•New York, NY

3d•$95,000 - $103,500•Onsite

About The Position

The New York City Comptroller’s Office is committed to promoting the financial health, integrity, and effectiveness of New York City government. The Bureau of Asset Management (BAM) oversees the investment portfolios of the five New York City pension systems, aiming for exceptional investment outcomes and responsible stewardship of resources. The compliance department within BAM ensures that all investments adhere to relevant laws, investment guidelines, and trustee-approved asset allocation decisions. The Senior Compliance Analyst will play a key role in identifying and implementing policies and workflows to monitor regulatory compliance for the Bureau, as well as for external managers and consultants in the financial services industry.

Requirements

A baccalaureate degree from an accredited college or university, including or supplemented by 24 semester credits in accounting, business administration, economics, finance, law, mathematics, and/or statistics and one year of satisfactory full-time experience in investment activities of a governmental agency, financial institution, or brokerage firm.
OR A baccalaureate degree from an accredited college or university and two years of satisfactory full-time experience in investment activities of a governmental agency, financial institution or brokerage firm.
For Assignment Level II: At least one additional year of full-time experience in investment activities of a governmental agency, financial institution or brokerage firm.
For Assignment Level III: At least two additional years of full-time experience in investment activities of a governmental agency, financial institution or brokerage firm.

Responsibilities

Perform comprehensive compliance-related operational due diligence and disclosure form review on all new and existing public and private market manager recommendations and investments, in collaboration with BAM Investment Strategy and the Office of the General Counsel.
Manage the compliance review process to resolve portfolio trades and investments that do not comply with investment policy statements and investment guidelines for both externally managed and internally managed, short-term accounts.
Serve as the BAM Compliance liaison for all matters concerning the Systems’ Custodian.
Monitor, resolve, and report trade errors within the Systems’ portfolios.
Oversee the Annual Compliance and Ethics Questionnaire, including drafting the questionnaire, and managing its distribution and processing.
Create comprehensive metrics for all compliance functions for the BAM senior team.
Conduct special projects as required by the Chief Compliance Officer.