Compliance Analyst

Job Overview

Compensation

Location

Schedule

About the Role

The Compliance Analyst will support regulatory compliance, compliance monitoring, policy administration, and risk management activities within a financial services environment. This role will partner with compliance, legal, operations, and business teams to support regulatory requirements, internal controls, employee compliance programs, and ongoing compliance initiatives.

Responsibilities

• Employee Compliance Monitoring: Support employee compliance programs, including personal trading reviews, certifications, disclosures, and other compliance monitoring activities.
• Due Diligence & Vendor Reviews: Assist with compliance reviews, diligence processes, and documentation related to third-party vendors, consultants, and external service providers.
• Marketing & Communications Review: Support the review of investor communications, marketing materials, due diligence questionnaires, and other external-facing content for regulatory compliance and accuracy.
• Compliance Program Administration: Maintain compliance records, policies, trackers, certifications, and reporting workflows while supporting testing and monitoring activities.
• Regulatory Support: Assist with regulatory filings, annual reviews, compliance training initiatives, policy updates, and internal control processes.
• Process Improvement: Identify opportunities to improve compliance workflows through automation, technology solutions, and operational enhancements.

Requirements

• Education: Bachelor’s degree is required.
• Experience: 2–4 years of experience in compliance, legal, risk management, operations, financial services, investment management, or a related field is required.
• Industry Knowledge: Experience supporting a regulated financial services organization, investment adviser, asset manager, broker-dealer, or alternative investment firm is preferred.
• Technical Skills: Proficiency with Microsoft Office Suite, compliance systems, workflow tools, automation platforms, and AI-enabled technologies is required.
• Skills & Attributes: Strong organizational, analytical, and communication skills with exceptional attention to detail, sound judgment, discretion, and the ability to manage multiple time-sensitive priorities are required.