Junior Compliance Analyst

This position is responsible for a variety of compliance tasks within DuPont Capital Management’s Compliance Department. This position will report to the Head of Compliance.

RESPONSIBILITIES:

Provide support and supervision on Code of Ethics related questions (personal trading, Gifts and Entertainment, Employee Certifications, etc.).

Conduct Rule 206(4)-7 tests.

Prepare various regulatory filings.

Assist with additional compliance oversight responsibilities based on the employee’s development.

Ad-hoc compliance project involvement.

Please note some changes to the list of responsibilities may be made as the Junior Compliance Analyst develops requisite skills and experience.

Job Qualifications

• BA or BS Undergraduate degree (Finance, Business, Economics preferred).
• 1-3 years of relevant investment industry experience and/or internal control background preferred.
• Excellent written and oral communications skills.
• Excellent attention to detail and strong computer systems literacy.
• Ability to work both independently and as a member of a team.
• Willingness, ability, and initiative to learn about the investment management industry and the compliance profession through hands-on training, independent research, and inquiry.
• Ability to work in a fast-paced environment and to meet deadlines, including strong organizational skills and an ability to manage assignments with competing priorities.