Location: Stamford, CT
As a Compliance Analyst, you will play a crucial role in supporting the compliance program and ensuring adherence to regulatory requirements. This is an excellent opportunity for someone looking to gain valuable experience in the financial services industry and contribute to the growth of a firm.
In the role of Compliance Analyst, you will be responsible for the following:
- Supporting the Chief Compliance Officer and the compliance team in overseeing our comprehensive compliance program
- Evaluating and reviewing compliance matters within the organization to ensure adherence to regulatory requirements
- Monitoring and maintaining robust compliance processes, meticulous documentation, and accurate record-keeping
- Assisting in the preparation of compliance reports and regulatory filings, ensuring accuracy and timeliness
- Conducting ongoing testing of policies and procedures, including meticulous forensic testing
- Maintaining the compliance calendar and assist in completing essential regulatory filings within deadlines
- Performing meticulous anti-money laundering (AML) and know-your-customer (KYC) checks
- Collaborating on other aspects of compliance, such as portfolio surveillance, ensuring adherence to regulatory guidelines
To be considered for the Compliance Analyst role, you should have:
- Bachelor's Degree from an accredited college/university
- 0-2 years of relevant compliance experience at an investment adviser, broker-dealer, or related firm (relevant internship experience may be considered for entry-level candidates)
- Basic knowledge of SEC laws and regulations applicable to registered investment advisers and private fund offerings, particularly the Investment Advisers Act of 1940
- Proficiency in Microsoft Word, Excel, and PowerPoint
- Strong organizational and time management skills
- Detail-oriented and process-driven mindset
- Effective communication and interpersonal skills
- Ability to handle multiple tasks in a time-sensitive environment
- Competitive compensation package ($70,000 – $80,000 + bonus).
- Opportunities for professional development and growth.
- Collaborative and dynamic work environment.
- Comprehensive benefits package.
Application 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.
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