Compliance Analyst

Overview

Our client, a leading global investment firm, is seeking a Compliance Analyst to join its industry-recognized compliance department. This team supports the firm’s global investment and trading operations by designing and implementing policies, providing real-time regulatory advice, and conducting ongoing surveillance. The compliance function is central to the firm’s culture of integrity and excellence, and this role offers mentorship, cross-functional exposure, and a defined path for professional growth within a collaborative, high-performing environment.

Key Responsibilities

• Support and coordinate the firm’s annual compliance audit, including information gathering and reporting in collaboration with internal stakeholders
• Develop, maintain, and update a comprehensive library of exchange rules, regulatory notices, and enforcement actions
• Assist in the preparation and submission of various regulatory filings, disclosures, and certifications required under applicable laws and regulations
• Conduct reviews of marketing and investor communication materials to ensure compliance with internal policies and external regulatory standards
• Monitor and test compliance with key firm policies, including those related to personal trading, outside business activities, and information barriers
• Support the development, review, and enhancement of compliance and trading policies in response to evolving regulatory requirements and industry best practices
• Provide ad hoc compliance coverage and support across a wide range of areas, including regulatory inquiries, employee training, and compliance-related projects
• Collaborate with global compliance colleagues to maintain consistent standards and contribute to firm-wide initiatives and process improvements

Qualifications

• Bachelor’s degree from an accredited institution
• Minimum GPA of 3.0 or equivalent academic performance
• Strong attention to detail, organization, and analytical thinking
• Ability to manage multiple priorities with a structured, process-driven approach
• Excellent written and verbal communication skills, with the ability to convey complex concepts clearly
• Demonstrated integrity, sound judgment, and commitment to the highest ethical standards
• Prior compliance, legal, or financial services experience or internship preferred (but not required)

Compensation & Benefits

Our client offers a highly competitive compensation package and a comprehensive benefits program, including:

• Fully paid health care coverage
• Generous parental and family leave policies
• Comprehensive wellness initiatives (mental and physical)
• Volunteer and community engagement opportunities
• Matching charitable contribution program
• Employee-led affinity and resource groups
• Tuition assistance and continued education support
• 401(k) retirement savings plan with employer match