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.