Regulatory Compliance Analyst

Location: New York, NY Employment Type: Full-Time Estimated Compensation: $140,000 – $185,000 total annual compensation (varies by employer) About This Posting This job description represents a sample Fund Compliance Analyst position commonly found through the Career Launch AI Talent Network. It is intended to help job seekers understand the responsibilities and qualifications typically associated with early-career roles in fund compliance, regulatory oversight, and internal control for investment funds. Actual openings may vary based on employer type (e.g., private equity, hedge funds, venture capital, or alternative asset managers) and the specific regulatory framework they operate under. For more information on the Career Launch AI Talent Network, visit: Position Overview Fund Compliance Analysts support fund operations and investment teams by monitoring adherence to internal policies, regulatory requirements, and industry best practices. The role blends analytical rigor, regulatory awareness, and operational oversight to ensure that funds operate within legal, regulatory, and risk parameters. These roles often involve collaboration with legal, operations, risk management, and fund administration teams. Key Responsibilities Monitor fund operations to ensure compliance with internal policies, regulatory requirements, and investor agreements Assist in the development, implementation, and maintenance of compliance programs and procedures Review fund documentation, investor communications, and transaction records for compliance adherence Track regulatory filings, reporting deadlines, and changes in relevant laws and regulations Conduct compliance testing, risk assessments, and internal audits of fund activities Identify, report, and escalation compliance issues or breaches to senior management Support ongoing regulatory reporting and audits from authorities or external auditors Maintain accurate records of compliance activities and create compliance dashboards and reports Preferred Qualifications Bachelor’s degree in Finance, Economics, Law, Accounting, or a related field Understanding of fund compliance, regulatory frameworks, and investment fund operations Familiarity with SEC, FINRA, CFTC, or other relevant regulatory requirements Strong analytical and organizational skills with attention to detail Proficiency in Excel; experience with compliance software or data analysis tools is a plus Ability to work effectively with multiple stakeholders in a fast-paced environment Clear written and verbal communication skills Interest in fund compliance, regulatory monitoring, and risk management About the Career Launch AI Talent Network The Career Launch AI Talent Network helps job seekers pursue opportunities similar to this role through: Skills-based role matching Resume and profile optimization Guidance on outreach to fund compliance and operations teams Interview preparation for compliance, regulatory, and fund operations roles To learn more or express interest in fund compliance roles, visit: #J-18808-Ljbffr