Compliance Analyst
Hybrid – NYC
Overview
TalentoHC has partnered with a leading global investment management firm to find a Compliance Analyst. This role will focus on surveillance and monitoring activities while collaborating closely with legal, compliance, technology, and business stakeholders to support the firm’s regulatory obligations, employee conduct oversight, and global compliance program.
Responsibilities
- Analyze outputs from internal surveillance tools to identify potential compliance concerns
- Investigate, escalate, and help resolve surveillance-related findings as appropriate
- Advise business stakeholders on policy interpretation related to the Compliance Manual, Code of Ethics, Restricted List, Money Laundering Prevention, Outside Activities, and Gifts/Entertainment
- Perform employee communications monitoring, with experience using the Global Relay Archive & Compliance system considered a plus
- Prepare and file required regulatory disclosures, including Form 13G and 13D filings
- Support regulatory exams, information requests, internal reviews, and special compliance initiatives
- Facilitate compliance training for new hires and annual programs, including content maintenance and updates
- Contribute to compliance testing efforts under the Investment Advisers Act Rule 206(4)-7 and FINRA 3130 framework
- Draft, update, and maintain firm-wide compliance policies and procedures
- Review and approve employee submissions related to gifts and entertainment, political contributions, outside business activities, and personal investments through internal compliance platforms
- Collaborate with Technology teams to improve surveillance capabilities and internal review processes
- Develop and distribute compliance-related communications across the organization
- 1–5 years of experience supporting compliance functions within an investment adviser or broker-dealer environment
- Bachelor’s degree required
- Working knowledge of equity and fixed-income products preferred; exposure to futures, commodities, currencies, and derivatives is a plus
- Team-oriented professional with a strong sense of accountability and ethical judgment
- Effective communicator with the ability to engage confidently across junior staff and senior leadership
- Detail-driven and analytical, with the capacity to balance competing priorities in a fast-paced environment
Compensation: $85,000/yr – $105,000/yr
About Talento Human Capital (TalentoHC)
TalentoHC is a leading talent acquisition, executive search, and human capital consulting partner, dedicated to helping our clients build their best teams yet. Our success is driven by our unwavering commitment to fostering an inclusive and diverse workforce, embracing individuals from various backgrounds, perspectives, and skills. Talento Human Capital is an equal opportunity employer.
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