The Compliance Analyst will support the Chief Compliance Officer and the implementation of the firm’s compliance program
Job Summary
The Compliance Analyst will support the Chief Compliance Officer and the implementation of the firm’s compliance program.
Primary responsibilities include compliance testing, internal audit projects, code of ethics implementation, and preparation of regulatory filings.
The role offers diversified experience across all functional areas of a complex investment advisory firm and interaction with a broad range of stakeholders.
Matching Summary
The Compliance Analyst will support the Chief Compliance Officer and the implementation of the firm’s compliance program.
Salary
Base: $70,000 - $90,000; Bonus/Equity: annual cash bonus; Benefits: medical, dental, vision, life and 401(k)
Skills & Requirements
Must-have
Compliance testing
Regulatory filings preparation
Working with large data sets
Nice-to-have
Thrive in an entrepreneurial environment
Interest in wealth management concepts
Key Requirements
1+ years of relevant experience
Bachelor's degree in finance, economics, or related discipline
Familiarity with Investment Advisers Act of 1940
Proficiency in Microsoft Excel, Word, Co-Pilot, and Outlook