Compliance Analyst

An established investment advisory organization is seeking a Compliance Analyst to support its compliance program. This role works closely with senior compliance leadership and handles day-to-day compliance activities in accordance with the Investment Advisers Act. This role will report directly to the Chief Compliance Officer, and be performed on a hybrid schedule.

Key Responsibilities

Support the administration and ongoing enhancement of the firm's investment compliance program

Assist with developing, reviewing, testing, and maintaining compliance policies and procedures

Conduct compliance testing, reviews, and internal audits

Monitor employee adherence to compliance policies, including the code of ethics

Perform due diligence on third-party service providers, including preparing and reviewing due diligence questionnaires

Qualifications

Bachelor's degree required

2+ years of compliance experience within an investment adviser, broker-dealer, or investment management environment

Strong written and verbal communication skills

Ability to manage multiple priorities, exercise sound judgment, and work both independently and collaboratively

Proficiency with business software tools and process documentation

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