Compliance Analyst – Family Office

New York, NY

The Compliance Analyst will be an integral part of the compliance team who oversees regulatory compliance matters. We are seeking a junior-level analyst to run various Compliance work streams related to family offices.



  • Identifying regulatory risks and leading work streams to mitigate.
  • Working with the family offices to find efficiencies in implementing the firm’s compliance processes.
  • Vetting potential investments for conflicts of interest.
  • Trade preclearance for the family offices.



  • 1-2 years capital markets or compliance experience at a law firm or financial services firm
  • Ability to multitask in a fast-paced environment and work well under pressure
  • Knowledge of financial markets, their operation and mechanics, and securities market regulations
  • Ability to exercise independent judgment and lead work streams


Note: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, we will keep your resume on file for future opportunities and may contact you for further discussion.

Date Posted 8/8/2017
Salary $60,000-$70,000 + Bonus

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