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Compliance Analyst

L5

mission staffingNew York, NY2 days ago

Occupations

Compliance OfficersCompliance ManagersFinancial Examiners

Industries

Portfolio Management and Investment AdviceMiscellaneous Financial Investment ActivitiesMiscellaneous Intermediation
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:
  • Support the firm's day-to-day compliance monitoring and surveillance activities
  • Assist with trade surveillance and review trading activity for potential compliance issues
  • Help prepare, review, and execute contracts and agreements
  • Conduct legal and regulatory research to support the compliance and legal team
  • Review marketing materials to ensure compliance with applicable regulatory requirements
  • Review RFPs and other client-facing materials
  • Assist with ongoing compliance projects, policies, and procedures
  • Work closely with senior legal and compliance leadership on various matters
Requirements:
  • 2+ years of experience in compliance within financial services
  • Prior experience with trade surveillance or investment compliance strongly preferred
  • Experience working at a bank, investment management firm, or financial services organization
  • Familiarity with mutual funds and/or ETFs is a strong plus
  • Exposure to reviewing marketing materials, RFPs, contracts, and agreements
  • Strong research, analytical, and organizational skills
  • Bachelor's degree required, with a minimum 3.0 GPAExcellent written and verbal communication skills
  • Ability to work directly with senior-level stakeholders and manage multiple priorities
Apply now (opens in a new tab)
Apply now (opens in a new tab)

Level

SeniorL5

Location

New York, NY

Occupation

Compliance Officers

Industry

Portfolio Management and Investment Advice

Posted

2 days ago

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