Investment Advisor Compliance Analyst

  • Location: New York, NY
  • Type: Perm (Contingency)
  • Job #34278
  • Salary: $100,000

Job Overview – Investment Advisor Compliance Analyst:
We are seeking a motivated Investment Advisor Compliance Analyst to join our client's team in the financial services industry. As a key member of the Compliance team, you will play a crucial role in ensuring adherence to regulatory requirements and maintaining a robust compliance program. 

Compensation: $100,000.00 – $125,000.00 + bonus
Location: New York City

Responsibilities of the Investment Advisor Compliance Analyst include:

  • Assisting with transactional and counterparty KYC processes
  • Reviewing marketing and investor relations materials
  • Drafting policies and procedures and designing new compliance initiatives as the compliance environment evolves
  • Conducting compliance testing, surveillance, and mock audits
  • Managing regulatory reporting obligations (e.g., ADV, Form PF, AIFMD filings)
  • Staying updated on regulatory developments and implementing procedures for platform compliance
  • Preparing for and responding to regulatory inquiries and examinations
  • Creating regulatory reports and testing documentation
  • Identifying, escalating, and managing conflicts of interests across groups
  • Preparing and conducting ongoing compliance training for employees and new hires

Qualifications of the Investment Advisor Compliance Analyst include:

  • 2-5 years of experience in Investment Advisor roles or relevant experience in finance, investment, or corporate paralegal positions
  • Strong analytical and problem-solving skills
  • Commercial and results-oriented mindset
  • High trust and integrity
  • Strategic and entrepreneurial mindset
  • Bachelor's Degree (preferred)
  • Comprehensive knowledge of financial products, markets, and relevant laws and regulations (e.g., FINRA rules, SEC rules)
  • Detail-oriented, responsible, and proactive
  • Ability to handle multiple tasks simultaneously and work under pressure


  • Opportunities for professional development and career growth
  • Collaborative and high-growth work environment
  • 401-K match and profit sharing
  • Breakfast and lunch provided
  • Happy hours and off-sites with exciting activities 

Application Notice: 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.

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Job ID: 34278