Compliance Analyst - Landing Point : Job Details

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This range is provided by Landing Point. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

$100,000.00/yr - $140,000.00/yr

Compliance Analyst (New York, NY): Our client, a prestigious asset management and advisory firm, is looking to bring on a Compliance Analyst to join its global Compliance Team headquartered in New York. This is a great opportunity for an individual to gain experience in U.S. and global regulatory compliance, who is comfortable in a fast-paced environment, and who enjoys working with a team in a collegiate environment.

Key points:

• The firm is adding this position due to their continued growth.
• This person will work closely with the CCO and senior management.
• Exposure to both the broker-dealer and RIA.
• This position plays a pivotal role within the Compliance department and will be involved in a number of strategic projects.
• Lots of room for growth – no shortage of things to do.
• Team is great – young, hungry, entrepreneurial. Everyone has a seat at the table and no matter what your role, your ideas matter.
• WFH policy: 4 days in the office and 1 day from home.
• Compensation: 100-140k base + bonus (total compensation will depend on experience).

Responsibilities:

• Reports directly to the Chief Compliance Officer and primarily provides support to the US BD and IA compliance programs, and other members of the Compliance Team as needed.
• Assists with onboarding new employees onto the company compliance monitoring platform.
• Assist with monitoring employees' personal trading activity and business communications for compliance with company policy.
• Maintain personnel compliance files (i.e.: tracking U4 updates and logging employee disclosures).
• Support US Compliance Team to ensure all employee regular reporting is submitted and reviewed.
• Assist with maintaining current Compliance Logs for tracking policies and procedures.
• Conduct Anti-Money Laundering reviews such as OFAC and FinCen reviews.
• Assists the CCO with managing some cybersecurity requirements.
• Participate in regular meetings with consultants regarding current compliance issues and industry trends.
• Contribute to the drafting and updating of compliance policies and forms.
• Assist with the preparation of regulatory filings, including Form ADV, Form PF, and other reports for the US BD.

Qualifications:

• 2-4 years of applicable experience.

Associate

Full-time

Other

Investment Management and Venture Capital and Private Equity Principals