Compliance Analyst

About the Role

Our DC Advisory New York office seeks an analyst to work alongside the Firm’s legal and compliance teams. This position offers broad exposure to compliance and regulatory workstreams, with involvement in strategic discussions around the Firm’s forward-looking compliance processes. The role is crucial in preventing and detecting violations of laws, rules, regulatory requirements, and Firm policies, promoting high standards of ethics, professionalism, and accountability.

Responsibilities

• Provide guidance to business units on policies related to the Compliance Manual, Code of Ethics, Restricted List, Anti-Money Laundering/Know Your Customer, Outside Business Activities, Gifts/Entertainment, etc.
• Prepare and submit regulatory filings with FINRA (e.g., Form U4s and U5s) and assist with regulatory examinations, inquiries, investigations, and projects alongside the legal team.
• Review and approve employee compliance-related requests in the internal system (e.g., gifts/entertainment, political contributions, private investments).
• Manage key elements of the personal trading program, including account disclosures, pre-approval requests, and reconciliations.
• Support employee onboarding, certifications, disclosures, training requirements, and compliance-related offboarding procedures.
• Assist with compliance projects, workflow enhancements, and operational improvements across compliance systems and procedures.

Requirements

• Bachelor’s degree required.
• At least two (2) years of experience in a compliance position, with a strong interest in the highly regulated financial services industry.
• Sound judgment, discretion, and commitment to confidentiality and professionalism.

Preferred Qualifications

• Exposure to regulatory compliance or risk management within the financial services sector.
• Experience with the FINRA regulatory framework.

Qualities We Seek

• Personal integrity, initiative, and leadership qualities.
• Strong multitasking and time management skills.
• Commitment to excellence and maturity.
• High initiative, motivation, attention to detail, and positive attitude in a fast-paced, entrepreneurial environment.
• Outstanding academic record.
• Ability to work collaboratively in a demanding, high-performance environment.
• Strong quantitative, verbal, and written communication skills; financial services familiarity a plus.
• Proficiency in Microsoft Office suite.

Pay

Salary Range: $80,000 - $100,000 + annual discretionary bonus.

Benefits

• Medical / Dental / Vision Insurance
• Long Term Disability, Short Term Disability, Life Insurance
• Pet Insurance
• Health Savings Account
• Retirement Plans (401K)
• Pre-Tax Commuter Benefits

Schedule

Hybrid arrangement: Four days on-site (Monday - Thursday) with the option to work from home on Fridays.