Investment Advisor

Compliance Analyst, New York, NY

Compliance Analyst (New York, NY): Our client, an investment advisor with north of $3.5 billion in AUM is seeking a smart, proactive professional to join their compliance team. 


Key Points: 

  • Firm has been around for over 10 years and manages north of $3.5B in assets
  • People have been described as “bright, nice, and encouraging of each other” 
  • Strong work/life balance – this individual will not be working late nights or weekends


  • Prepare and maintain corporate governance documents (consents, resolutions, and tax forms); prepare and maintain entity formation documents for LLCs, corporations and partnerships 
  • Assist with administering the firm’s compliance program, monitoring Code of Ethics compliance (personal trading, political contributions, outside business activities and gifts and entertainment); maintain the firm’s compliance calendar, performing electronic communication searches and preparing employee verifications
  • Comprehend and process KYC, onboarding and annual refresh document requests from counterparties; prepare board and committee materials and minutes 
  • Provide support with regulatory filings; assist with corporate transaction closings
  • Prepare account opening documentation and maintain account files; perform other ad hoc projects and tasks as they arise from the legaland compliance team 


  • 1 – 2 years of relevant experience within a similar function as a paralegal, compliance or back office function; preferably coming out of an investment manager, law firm or similar financial services firm
  • Bachelors degree is required; demonstrated ability to maintain strict confidentiality of the firm's internal and personnel affairs 
  • Ability to respond quickly and shift demands as necessary; must be able to work under tight deadlines and handle multiple, detailed tasks 
  • Strong technical ability and excellent interpersonal skills; comfortable with planning, organizing and carrying out multiple related activities
  • Must be a self-starter who desires to show ownership and commitment to compliance; willingness to learn and advance one’s knowledgeof regulatory issues 

Job Reference #1586

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