Compliance Analyst

An established investment advisory organization is seeking a Compliance Analyst to support its compliance program. This role works closely with senior compliance leadership and handles day-to-day compliance activities in accordance with the Investment Advisers Act. This role will report directly to the Chief Compliance Officer, and be performed on a hybrid schedule.

Key Responsibilities

• Support the administration and ongoing enhancement of the firm's investment compliance program
• Assist with developing, reviewing, testing, and maintaining compliance policies and procedures
• Conduct compliance testing, reviews, and internal audits
• Monitor employee adherence to compliance policies, including the code of ethics
• Perform due diligence on third-party service providers, including preparing and reviewing due diligence questionnaires

Qualifications

• Bachelor's degree required
• 2+ years of compliance experience within an investment adviser, broker-dealer, or investment management environment
• Strong written and verbal communication skills
• Ability to manage multiple priorities, exercise sound judgment, and work both independently and collaboratively
• Proficiency with business software tools and process documentation