22 days old

Legal & Regulatory Analyst

Pzena Investment Management
New York, NY 10022
  • Job Code

Pzena Investment Management, LLC is a registered investment adviser and broker-dealer managing over $50 billion in global equity assets. We provide equity investment management services for institutional investors, leading corporate, public and individual clients on a world-wide basis by way of separate accounts, sub-advised mutual funds, and other commingled vehicles since our firm founding in 1995. Our team of approximately 123 employees is mostly based in our headquarters in Manhattan and we have representative offices in Australia and London. We are a growing company, in the size of our team, our locations, and our assets under management. We seek partners, not just employees, at every level in the firm and are looking for an exceptional new team member to grow with us.

This is an exciting opportunity to join our close-knit Legal & Compliance Department. We seek a motivated team member with an ownership attitude, first-rate verbal and written communication skills, close attention to detail, a willingness to grow and learn professionally, and an ability to work in a highly collaborative environment. The successful candidate's level of responsibility will be limited only by their ability and initiative.

Key Responsibilities

  • Regulatory reporting: global and US beneficial ownership and position-level reporting
  • Code of Ethics compliance, including personal trade reporting and pre-clearances, political contributions, gifts/entertainment reporting, email surveillance, etc.
  • Marketing material review
  • Maintaining departmental records, including contractual terms and policies and procedures
  • Ongoing review and testing of existing compliance policies and procedures, assisting in the drafting of new policies and procedures
  • AML/KYC review
  • Coordinating review of new and relevant US and international regulations
  • Ad-hoc legal research and written analysis
  • Close coordination with other key stakeholders in the firm, including the Operations and Marketing departments
  • Other Legal and Compliance duties as necessary

Duties, responsibilities, and activities may change at any time.



Posted: 2021-08-30 Expires: 2021-09-30
Sponsored by:
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Legal & Regulatory Analyst

Pzena Investment Management
New York, NY 10022

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