Compliance Analyst presso Viking Global Investors

JOB FUNCTION

The Compliance Analyst will work closely with other members of the Legal and Compliance Department and other departments throughout the firm on a wide spectrum of issues and initiatives.

RESPONSIBILITIES

• Surveillance. Action various tasks based on insights produced by employee compliance, electronic communications, and trade surveillance software platforms.
• Forensic Testing. Manage, organize, and interpret large datasets to derive sound conclusions for compliance monitoring and reporting.
• Risk Identification and Mitigation. Proactively anticipate and address compliance risks, developing and implementing effective solutions that are technology and process driven.
• Education. Educate employees on compliance risks and policies with a confident and proactive approach.
• Independent Operator. Execute tasks independently, exercising sound judgment and intellectual curiosity in compliance matters and escalating determinations to senior compliance personnel as needed.
• Partnerships. Build and maintain strong collaborative relationships with internal stakeholders and external partners at all levels of seniority.
• Policy and Procedures. Contribute to the continuous development, implementation, and enhancement of compliance policies and procedures.
• Maintaining awareness of evolving regulation and best practices. Stay informed about relevant securities laws, regulations, and industry best practices.

QUALIFICATIONS

• A Bachelor’s degree with an outstanding academic record.
• Minimum of two (2) years of experience with Registered Investment Adviser (RIA) compliance.
• Prior compliance experience within buyside firms (e.g., hedge funds, private equity, multi-strategy asset managers), investment banking, or RIA consulting is preferred. A compliance-related designation (e.g., IACCP, CRCP) is a plus.
• General understanding of the Investment Advisers Act of 1940 and other pertinent securities laws and regulations. Familiarity with non-U.S. regulatory regimes (e.g., FCA, SFC) is a plus.
• Experienced with compliance surveillance platforms; communicates clearly and confidentially with a commitment to responsiveness; operates independently with strong ability to determine when prompt escalation is warranted; builds and sustains high-trust relationships internally and externally.
• Commitment to continuous learning and the development, implementation, and enhancement of compliance policies and procedures.
• Combines strong analytical rigor and large-dataset fluency with exceptional attention to detail to complete tasks.
• Highly inquisitive with strong investigative skills, and a confident, proactive approach to educating employees on compliance risks and policies.
• Ability to thrive in a fast-paced, high-accountability environment, operating with the highest degree of urgency, integrity, and sound judgment.

The base salary range for this position in New York City is $100,000 to $140,000. In addition to base salary, Viking employees may be eligible for other forms of compensation and benefits, such as a discretionary bonus, 100% coverage of medical and dental premiums, and paid lunches. Actual compensation for successful candidates will be individually determined based on multiple factors including, but not limited to, a candidate’s skill set, experience, education, and other qualifications. For more information on our benefits, please visit www.vikingglobal.com/life-at-viking/

Viking is an equal opportunity employer. Questions about your candidacy and requests for reasonable accommodation in the recruitment process should be directed to [email protected].