Investment Adviser Compliance Analyst
To satisfy the needs of our growing client base, Hamilton Lane is looking to hire a Compliance Analyst. The candidate should have an interest in learning the daily compliance functions of an SEC-registered investment adviser. This position will report to our Director of Compliance.
Primary Responsibilities:
• Track Code of Ethics reviews and certifications using online system.
• Creating, testing and revising procedures.
• Researching verifying performance analysis.
• Assist in preparing regulatory reporting, foreign licensing and application filings.
• Assist in preparing for SEC examinations.
• Coordinating with internal groups in the collection of audit requests.
• Tracking internal deliverables and associated follow up.
• Various ad hoc projects as requested.
Qualifications:
• 0-2 years of experience in similar position
• BA/BS, or equivalent combination of training and experience.
• Understanding of investment adviser/financial services industry, ideally with a focus on private equity.
• Proven communication and analytical skills.
• Proficient with Microsoft Office applications.
• Must be proactive, self-starter and able to interact with people who have varied personalities and work styles.
Hamilton Lane offers a comprehensive benefits package which includes: Medical, Prescription, Dental, Paid Time Off, 401k, Revenue Sharing, Short Long term disability, Life, Tuition Reimbursement and Flexible Spending Accounts.
We are an Equal Opportunity Employer. As a registered investment adviser, employees of Hamilton Lane may be subject to certain limitations on political contribution and personal investment activities.
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