Compliance Analyst

Greenwich, CT

Job Reference #1861

Our client, a successful investment manager with over $5B in AUM, is looking to add a motivated and bright compliance professional to join their team. The candidate of choice will be reporting directly to the Chief Compliance Officer on all related compliance duties.

Key Points

  • Firm is doing exceptionally well – steadily growing and offering a stable platform
  • Ideal role for someone with an authentic interest in the investment management space to build a career within compliance
  • Firm promotes a team-oriented environment


  • Assist in monitoring for compliance with company policies and procedures and SEC regulations
  • Maintain the Firm’s compliance calendar in order to prepare for regulatory testing and filings
  • Assist in monitoring all communications and employee personal trading
  • Work with the team to prepare for regular compliance reviews, exams and certifications
  • Assume responsibility for AML and KYC checks
  • Provide support to the compliance team with all projects


  • Bachelor’s degree and at least 2 years of relevant compliance: experience with alternative credit manager a plus
  • Basic knowledge of Investment Advisers Act and other SEC regulations
  • High attention to detail, strong organizational skills and the ability to excel in a fast-paced work environment
  • Dedicated, pro-active, problem-solving mindset

Compensation: $100k – $130k base; $15k – $25k bonus (compensation will depend on experience)