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
Benefits:
- 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
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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.