Compliance Analyst

Job Description

Our client, a well-established financial services firm based in New York, NY, is seeking a Junior Compliance Officer to join its legal and compliance team. This individual will report directly to senior legal leadership and support a variety of compliance and legal functions, with a particular focus on trade surveillance, investment compliance, and regulatory matters. The ideal candidate will have 2+ years of experience within a bank, investment management firm, or financial services organization. Experience with mutual funds and ETFs is a strong plus. This is an initial 3–6 month contract opportunity with potential to convert to a permanent position.

Responsibilities:

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• Support the firm's day-to-day compliance monitoring and surveillance activities
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• Assist with trade surveillance and review trading activity for potential compliance issues
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• Help prepare, review, and execute contracts and agreements
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• Conduct legal and regulatory research to support the compliance and legal team
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• Review marketing materials to ensure compliance with applicable regulatory requirements
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• Review RFPs and other client-facing materials
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• Assist with ongoing compliance projects, policies, and procedures
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• Work closely with senior legal and compliance leadership on various matters
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Requirements:

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• 2+ years of experience in compliance within financial services
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• Prior experience with trade surveillance or investment compliance strongly preferred
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• Experience working at a bank, investment management firm, or financial services organization
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• Familiarity with mutual funds and/or ETFs is a strong plus
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• Exposure to reviewing marketing materials, RFPs, contracts, and agreements
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• Strong research, analytical, and organizational skills
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• Bachelor's degree required, with a minimum 3.0 GPA
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• Excellent written and verbal communication skills
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• Ability to work directly with senior-level stakeholders and manage multiple priorities
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