Investment Firm

Compliance Analyst, New York, NY

Compliance Analyst (New York, NY): Our client, a successful investment firm with over $100b in AUM, is seeking a compliance professional to join their growing team.  This person will report directly to the Chief Compliance Officer and Managing Director and will be providing support in all compliance and regulatory matters.

Key Points:

  • Person will gain exposure to all areas of the compliance program 
  • Opportunity to cross train with other groups  
  • Small team, offering exposure directly to the CCO and senior management 
  • Firm is very stable 


  • Assist with annual SEC and CFTC registrations, regulatory filings including: Form ADV parts 1 and 2, Form PF and AIFMD reports and filings; familiarity and ability to monitor activities pertaining to the Investment Advisers Act of 1940, the Investment Company Act of 1940 and the Alternative Investment Fund Managers Directive
  • Stay up-to-date and monitor regulatory developments that impact the business; track new product launch compliance items
  • Assist with preparing and distributing employee training materials; review and monitor personal trade requests and network discussions 
  • Review marketing materials, responses to investor inquires and investor communications; assist with evaluating compliance-related service providers (electronic monitoring and trade surveillance)
  • Advise on regulatory regimes primarily focusing on the marketing of investment funds as it relates to European regulations; coordinate with various business groups to revise and redevelop policies and procedures as needed


  • 1-3 years of relevant experience working in financial services or within the alternative investment space; 
  • Ability to be proactive, manage projects and third parties; exceptional interpersonal skills as this position requires communicating across all levels of management
  • Desire to work as part of a collaborative team, handling multiple time-sensitive tasks; self-motivated, energetic, ambitious and thrive in a face-paced environment

Job Reference #1407

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