Compliance Analyst

LOCATION: Stamford, CT (on site)

ROLE: ARGA Investment Management, LP seeks a motivated compliance professional to join the compliance department in our Stamford, CT office. This individual will report directly to the Chief Compliance Officer.

JOB DESCRIPTION

Responsibilities include, but are not limited to:

• Develop, draft and maintain compliance policies and procedures
• Create and deliver compliance training
• Perform regular reviews and testing (daily, quarterly, annual) across all compliance areas
• Construct/maintain compliance rules in Order Management System
• Assist with regulatory filings (Section 13, Form PF, Form ADV, etc.)
• Review/approve marketing materials and RFPs to ensure compliance with the SEC Marketing Rule
• Assist with regulatory examinations, audits and inquiries
• Analyze new or amended laws, rules and regulations in order to formulate practical solutions for implementation to ensure compliance in all jurisdictions where the firm operates
• Maintain the compliance calendar
• Coordinate with internal stakeholders to assist with new business initiatives and regulatory requirements
• Assist with ad hoc projects and assignments as requested by the Chief Compliance Officer

QUALIFICATIONS

• Minimum 3-5 years of direct compliance experience at a registered investment adviser or hedge fund.
• Solid knowledge of Investment Advisers Act of 1940, the Investment Company Act of 1940, SEC regulations and the standards relevant to registered investment advisers.
• Solid knowledge of the SEC Marketing Rule.
• Excellent verbal and written communication skills.
• Strong attention to detail and organizational abilities.
• Ability to handle multiple tasks simultaneously and work in a fast-paced environment.
• Exercise poise, integrity and discretion at all times.

Please send your resume to [email protected]

Candidates with no relevant experience at a registered investment adviser or hedge fund will not be considered.

FIRM DESCRIPTION
ARGA Investment Management is a leading global value manager. ARGA manages global equity portfolios on behalf of institutional clients. We use a sophisticated process combining research and technology to identify businesses that are underpriced. ARGA is based in Stamford, CT, with offices in Chennai and Mumbai, India, Hong Kong and London, UK. For more information, visit www.argainvest.com.

ARGA is an equal opportunity employer. ARGA recruits, employs, trains, compensates and promotes regardless of race, religion, color, national origin, sex, disability, age, veteran status, and other protected status as required by applicable law. We are focused on equality and believe our deep commitment to diversity enhances our uniqueness.