Compliance Analyst/Associate

A leading investment management firm is seeking a Compliance Analyst to join its Compliance team. Reporting directly to the Chief Compliance Officer, this individual will support a broad range of regulatory, compliance, and client service initiatives across the organization. This role is ideal for a compliance professional who thrives in a collaborative environment, enjoys working cross-functionally, and is interested in helping maintain and enhance a best‑in‑class compliance program. The role is five days in office. Experience Level: 3–10 years Key Responsibilities Prepare and coordinate client reporting and regulatory deliverables. Assist with regulatory filings and ongoing compliance obligations. Monitor compliance with beneficial ownership and substantial shareholder reporting requirements. Maintain and update compliance policies, procedures, and documentation, including the Compliance Manual, Code of Ethics, and employee personal trading/pre-clearance processes. Support responses to RFPs, due diligence questionnaires (DDQs), and other prospective client requests. Partner with Legal, Operations, Investments, Client Service, and other business groups on compliance‑related matters. Assist with compliance monitoring, testing, recordkeeping, and special projects. Support ongoing enhancements to the firm's compliance framework, policies, and controls. Qualifications 3–10 years of experience in compliance/legal or regulatory in an investment management firm or compliance consulting firm. Familiarity with the Investment Advisers Act of 1940 and Investment Company Act of 1940 preferred. Strong written and verbal communication skills. #J-18808-Ljbffr Taylor Root