Compliance Analyst

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 GPA
• Excellent written and verbal communication skills
• Ability to work directly with senior-level stakeholders and manage multiple priorities