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.