Compliance Analyst

Lighthouse Investment Partners, LLC

Location - Palm Beach Gardens, FL - Hybrid Remote

Lighthouse Investment Partners, LLC (Lighthouse) is a ~$15 billion global diversified alternative asset management firm with more than two decades of seeking to deliver competitive risk-adjusted returns and innovative solutions to investors. The firm has three distinct businesses: proprietary multi–portfolio manager platforms; hedge fund solutions, which strategically allocate capital to leading investment managers and proprietary funds; and platform services, which provides comprehensive structural and administrative expertise to institutional investors.

Lighthouse’s collaborative, transparent, and entrepreneurial approach has enabled it to continually improve, innovate, and evolve the investor experience since its inception. The firm’s efforts have produced a culture that can attract top-notch talent who share its vision and appreciate a focus on exceptional client service. Lighthouse employs over 280 professionals across offices in Chicago, New York, Palm Beach Gardens, London, and Hong Kong.

Lighthouse is an SEC-registered investment adviser, and an indirect wholly owned subsidiary of Navigator Global Investments Limited (NGI), an Australian Securities Exchange-listed company.

       

Lighthouse is currently seeking a Compliance Analyst with experience working for a registered investment adviser, commodity pool operator, or a commodity trading adviser to join our compliance team. This role will report to the chief compliance officer (CCO).  The preferred candidate would be located by the Florida Lighthouse office and have the ability work in a hybrid capacity.  Candidates with only AML or Disaster Recovery IT compliance experience need not apply as this position will not assume those responsibilities.

Responsibilities:
•       Assist in implementing and administering the ongoing oversight of the compliance program as required by Rule 206(4)-7 of the Investment Advisers Act of 1940 and other applicable regulatory obligations.
•       Assist in maintaining supervisory policies and procedures designed to prevent violations of federal securities laws, including but not limited to, the Code of Ethics and policies related to personal trading, insider trading, gifts and entertainment, political contribution/pay-to-play, electronic communications, and the FCPA.
•       Work with the compliance team and external partners to ensure timely and accurate regulatory reporting (e.g., Form ADV, Form PF, Reg D/state blue sky filings, CPO-PQR, CTA-PR, etc.)
•       Support compliance review and approval of requests related to various policies and procedures (e.g., personal trading policies restricted list maintenance, gifts and entertainment, political contributions/pay-to-play, outside business activities, trade surveillance, research vendor governance, electronic communications reviews, etc.)
•       Support review of promotional and marketing materials, including RFPs and pitchbooks pursuant to SEC and other applicable regulations.
•       Support compliance training programs and initiatives.
•       Collaborate with other compliance members on a variety of projects, including but not limited to, forensic testing aimed at assessing the adequacy and adherence of the firm’s policies and procedures.
•       Participate in the research, interpretation and implementation of compliance processes associated with the firm’s regulatory requirements and industry best practices, including engaging other internal stakeholders in their support of the same.
•       Support compliance team members as back up for other designated responsibilities to ensure coverage during out of office or high work volumes.


Qualifications:
•       Bachelor’s Degree required. Finance, Accounting, Business or related degree (or equivalent compliance, legal or investment related experience) preferred.
•       Approximately 3+ years prior work experience at an investment advisory firm/hedge fund; or experience at a financial services’ regulatory authority and/or regulatory practice at a major consulting or law firm.
•       Strong problem solving and analytical skills with high attention to detail.
•       Outstanding organizational skills and ability to fulfill deadlines.
•       A proven ability to multi-task and work both independently and as a team player in a fast-paced, demanding environment.
•       Effective communication skills and ability to establish and maintain strong working relationships with a wide array of team members such as peers, business units, leaders, etc while maintaining a strong compliance culture.
•       Self-starter with ability to work well independently and proactively offer solutions to obstacles or conflicts with a “no task is too small” attitude.
•       Committed to maintaining high ethical standards.
•       Technologically Proficient.  Microsoft Office Suite skills (intermediate/advanced).

Candidates seeking a challenging new opportunity are encouraged to submit their cover letter and resume to Recruitment@LighthousePartners.com or Vanessa.Laws@LighthousePartners.com.  Please reference “Compliance Analyst” in the subject line. No telephone calls at this time.