Job Description

We are seeking a detail-oriented and proactive Compliance Analyst / Associate with 2 to 4 years of relevant experience to support day-to-day compliance operations across the firm. The title and level of responsibility will be determined based on the candidate’s experience. This role plays a key part in ensuring the timely execution of compliance activities and supporting the firm’s ongoing efforts to maintain a strong culture of compliance in a dynamic, fast-paced environment.

Key Responsibilities:

• Perform daily reviews of employee trading activity, personal brokerage accounts, gifts and entertainment, and policy attestations to ensure compliance with firm policies and regulatory requirements.
• Track, maintain, and organize compliance-related data, certifications, filings, and communications in accordance with regulatory and recordkeeping requirements.
• Monitor firm-wide compliance inboxes, triage requests, and ensure timely follow-up and escalation of issues as appropriate.
• Assist with the review of marketing materials and support responses to investor due diligence questionnaires and other compliance-related inquiries.
• Support the preparation and submission of regulatory filings and assist with ongoing documentation maintenance.
• Participate in internal compliance testing, surveillance, and monitoring activities; identify exceptions and escalate findings as needed.
• Help organize and maintain compliance training materials, policy updates, and internal communications.
• Work closely with legal, operations, and other internal teams to support compliance initiatives and ensure consistent application of policies and procedures.
• Stay informed of regulatory developments, compliance best practices, and evolving industry standards through ongoing training and professional development.

Qualifications:

• Bachelor’s degree in Finance, Business Administration, Economics, or a related field.
• 2 to 4 years of relevant experience in compliance, risk management, operations, or a related financial services role.
• Strong attention to detail and organizational skills, with the ability to manage multiple priorities in a deadline-driven environment.
• Strong written and verbal communication skills, with the ability to interact effectively with internal stakeholders.
• High level of integrity, professionalism, and discretion when handling sensitive information.
• Proficiency in Microsoft Office Suite, particularly Excel and Outlook; experience with compliance systems or regulatory reporting tools is a plus.
• Demonstrated interest in regulatory compliance and the financial services industry.