The Compliance Analyst will join the world-class Compliance team at Weiss Asset Management (WAM). The team is centrally positioned within the company and touches all aspects of WAM’s business. The Compliance Analyst will work with innovative investment, middle-office, and back-office staff to solve complex problems, maintain proper practices and policies for all teams, and proactively protect the firm against regulatory and operational risks.
A successful candidate will have exceptional attention to detail and superb writing skills, will enjoy taking ownership of a range of compliance responsibilities, and will effectively prioritize responsibilities. The Compliance Analyst can expect to evaluate situations quickly under time constraints, while gaining exposure to multiple markets and asset classes.
Prior experience in compliance is not required, and 2022 graduates are encouraged to apply for a summer 2022 start date. This position is appropriate for candidates interested in a career in compliance, as well as candidates who are considering a legal career in the future.
- Provide compliance support to the investment team, and manage trading restrictions and risk limits
- Prepare regulatory filings in jurisdictions around the world
- Investigate and keep records of conflicts of interests, disclosures, and disclaimers
- Review forensic reports and investigate exceptions to identify errors and violations. Work with teams across the organization to improve processes to reduce error rates
- Complete educational rotations with the operations team to better understand trade processing
About the Company:
For 30 years, Weiss Asset Management has developed proprietary value-based investment strategies designed to deliver high risk-adjusted returns to our investors, who include charitable foundations, pension plans, endowments, hospitals, government entities and private investors. We manage approximately $2.9 billion across hedge funds and institutional accounts. We work collaboratively to solve problems, and to identify undervalued assets through deep fundamental research, statistical analysis and an analytically rigorous approach to decision making. Above all else, we value integrity, uncompromising rationality, creativity and entrepreneurship, and continuous learning and improvement.
Our team of around 100 individuals is the engine of our success and we welcome truly exceptional candidates from all backgrounds.
WAM is a fit for you if:
- You enjoy a collaborative environment, where decisions are made in diverse teams. At WAM, all employees can expect to work directly with members of other departments representing a range of backgrounds.
- You work well in a flat structure and are comfortable voicing dissenting opinion. Talent and work ethic will dictate what you can achieve at WAM, as evidenced by the fact that our co-president and the majority of our managing directors began their careers here as interns.
- You are driven to constantly learn, improve, and make rational decisions based in fact and data, and you welcome receiving feedback as well as sharing knowledge with others.
- You prioritize acting ethically in all situations.
WAM is an equal opportunity employer. Women, minorities, people with disabilities, and veterans are encouraged to apply.