Fortress Investment Group LLC is a leading, highly diversified global investment manager with approximately $41.5 billion of assets under management as of September 30, 2019. Founded in 1998, Fortress manages assets on behalf of over 1,750 institutional clients and private investors worldwide across a range of credit and real estate, private equity and permanent capital investment strategies. Investment performance is our cornerstone - we strive to generate strong risk adjusted returns for our investors over the long term. For additional information on Fortress, please visit www.fortress.com.
About the Position
Fortress Investment Group seeks an entry level Compliance Analyst to join the Fortress Compliance Department. Fortress is a leading SEC-registered investment adviser (operating in multiple foreign jurisdictions) with approximately $42 billion in assets under management. The position will be based in Manhattan.
The successful candidate will work with members of the Legal and Compliance Department and other departments and businesses around the firm on, among other things, the following major items:
general administration of Fortress's global compliance program
processing employee requests and fielding questions relating to personal trading, private investments, political contributions, gifts and entertainment and other Code of Ethics related matters
conducting portions of the annual compliance reviews under SEC Rule 206(4)-7
supporting affiliated broker-dealer entity by completing required FINRA reviews and lobbyist filings
assisting with the administration of Fortress's anti-money laundering program by working with various firm businesses and external counterparties
assisting with the review of fund marketing materials and due diligence
assisting with domestic and international regulatory reporting (including SEC, NFA, FINRA, MAS, and other regulators)
reviewing information disclosed in compliance forms (quarterly/annual personal trading report, initial holdings, conflicts questionnaire, political contribution history, ADV disclosure, etc.) for new hires and current employees
conducting additional ad hoc compliance assignments, including periodic compliance testing and routine regulatory examinations
The successful candidate will have: