Compliance Analyst

New York, NY




  • Review regulatory developments and assist in implementing procedures to ensure platform compliance with all applicable rules and regulations
  • Review and develop compliance processes, policies, and procedures to demonstrate that the firm has appropriate internal controls
  • Design and implement compliance training programs for various business units and professionals
  • Assist with obtaining and maintaining regulatory licenses and registrations on a global basis
  • Assist in preparing for and responding to regulatory inquiries and examinations
  • Assist with compliance testing and mock audits
  • Review and complete periodic client/investor questionnaires, client due diligence requests, and related matters both independently and in conjunction with other departments
  • Maintain compliance calendar and project-manage departmental initiatives
  • Assist with completion of various regulatory filings, including Form ADV and Form PF





  • Bachelor’s degree in related field
  • 2+ years of relevant experience
  • Compliance experience preferred
  • Broad knowledge of financial products, markets, and laws and regulations such as, FINRA rules, SEC rules



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 7/21/2020
Salary $70,000 - $105,000 + bonus

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