Compliance Analyst New York

Job Overview SFM is seeking a detail-oriented and proactive Junior Compliance Analyst to join its New York-based Legal and Compliance team. This role will primarily support the firm’s Personal Account Dealing (PAD) program and Code of Ethics compliance, while also contributing to systems enhancements, testing, process documentation, and policy development. This is an excellent opportunity for an intellectually curious, early‑career professional eager to learn and build a strong foundation in compliance. The ideal candidate will demonstrate professionalism, take direction well, and actively incorporate feedback. Major Responsibilities Manage compliance onboarding for all new employees, including new hire certifications and required training programs Maintain the restricted list, including timely additions and removals of issuers and ensuring ongoing accuracy of issuer information Administer Code of Ethics policies and procedures related to employee disclosures via ComplySci, ensuring adherence to firm requirements Coordinate regulatory filings with the Federal Reserve, including TIC, SHCA, and SHLA reports, ensuring submissions are accurate and timely Monitor US and UK treasury auctions and escalate relevant findings to senior compliance staff Administer the Personal Account Dealing (PAD) program, including pre‑clearance requests, ongoing monitoring, and conducting targeted reviews Provide ECM trading coverage support on an as‑needed basis Perform conflict checks related to employee and firm business activities, documenting findings and escalating issues as appropriate Participate in compliance system evaluations, enhancements, and user acceptance testing Assist in drafting and updating policies, procedures, and the Compliance Manual to reflect regulatory and operational changes Support broader Compliance and firm‑wide strategic initiatives as directed What We Value Bachelor’s degree required; coursework or concentration in finance, economics, law, or a related field preferred 2–4 years of relevant experience in asset management business, regulatory agencies, financial services consulting, or a related compliance function Demonstrated interest in financial markets, investment management, and the regulatory environment governing them Exceptional attention to detail with strong organizational skills and the ability to manage multiple priorities with a high degree of accuracy Clear and professional written and verbal communication skills, with the ability to convey compliance requirements effectively across teams Strong analytical and critical thinking skills, including the ability to interpret regulatory guidance and apply it to firm policies and procedures Proven ability to thrive in a fast‑paced, deadline‑driven environment while maintaining thoroughness and sound judgment Intellectually curious with a genuine eagerness to learn the business, regulatory landscape, and evolving compliance requirements Receptive to feedback and able to incorporate guidance quickly and constructively Demonstrates professionalism and a proactive mindset, anticipating needs and taking initiative without waiting to be asked Collaborative and coachable, with the self‑awareness to take direction, ask the right questions, and recognize when to elevate matters Takes strong ownership of assigned work, following tasks through to completion with a high degree of accuracy and accountability Contributes to a positive team environment and approaches challenges with a solutions‑oriented mentality We anticipate the base salary of this role to be between $115,000-135,000. In addition to a base salary, the successful candidate will also be eligible to receive a discretionary year‑end bonus. Core Values Smart risk‑taking // Owner’s Mindset // Teamwork // Humility // Integrity #J-18808-Ljbffr