Investment Firm

Senior Compliance Analyst, New York, NY

Senior Compliance Analyst: (New York, NY): Our client, a successful investment firm with north of $40B AUM, is seeking a motivated and eager compliance professional to join their growing team in NYC. The candidate of choice will be joining a successful and collaborative team, assisting with key compliance-related initiatives. Specifically, this person will be covering training, testing and designing/implementing policies and procedures for the firm. 


Key Points: 

  • Firm has a strong global footprint and credit is the fastest growing business line 
  • The business appreciates a true partnership and values a positive compliance culture, promoting a collaborating team environment 
  • Firm hires top talent with no egos; intellectual curiosity and the ability to run with projects is huge
  • No limit to growth potential. As the firm continues to grow, they expect this new hire to grow
  • Organization prides itself on excellence – this new hire will be surrounded by intelligent, like-minded individuals with a collaborative attitude towards work


  • Assist with drafting policies and procedures and creating new compliance initiatives; review regulatory developments and implement procedures, ensuring platform compliance with all applicable rules and regulations
  • Assist with regulatory reporting (Form ADV, Form PF); prepare and conduct ongoing compliance training for new hires and existing employees
  • Assist in preparing for and responding to regulatory inquiries and examinations; review and complete recurring client/investor questionnaires and client due diligence requests 
  • Assist with acquiring and maintaining regulatory licenses and registrations on a global basis; maintain the team’s compliance calendar and project-manage departmental initiatives
  • Assist with compliance testing and mock audits


  • At least 4 years of relevant compliance experience preferably from another private fund; bachelors degree is required
  • Excellent written and oral communication skills as this person will be exposed to all levels of management; self-motivated and willing to work in a team environment across multiple offices
  • Broad knowledge of financial products, markets, and laws and regulations such as FINRA rules, SEC rules; keen sense of urgency with the ability to execute quickly and proficiently with strong attention to detail
  • Deadline-oriented with experience meeting time-sensitive contractual requirements; expert at problem solving with the ability to work proactively with little direct supervision

Job Reference #1689

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