Senior Compliance Analyst, Investment Advisory

• Job Description

Are you ready to take your compliance career to the next level? Join a world-class global investment firm with over $200 billion in AUM, where your expertise will drive not only the company’s compliance initiatives but also your own professional growth. At this firm, you’ll be a key player in a collaborative environment committed to excellence, integrity, and client focus. This is more than a role—it’s a career path where your contributions directly influence success.

As the Senior Compliance Analyst in the Investment Advisory team, you’ll be instrumental in ensuring compliance with a focus on innovation, risk mitigation, and operational excellence. This role offers the opportunity to expand your knowledge and skills through dynamic responsibilities and interaction with senior leadership. Here, you’ll work with a forward-thinking compliance program, setting the standard in the industry.

Specific Responsibilities:

• Administration of the firm’s Personal Trading Policy, ensuring adherence to the highest standards.
• Managing the FIS Employee Compliance Manager system, becoming the go-to expert.
• Oversight of employee conduct processes, including outside business activities, political contributions, and AML-related functions.
• Preparing regulatory filings and compliance reports for senior leadership and the Compliance Council.
• Conducting forensic testing and engaging in high-visibility project work that impacts the entire organization.

What You’ll Bring to the Team:

• BA / BS degree in Economics, Finance, or a similar discipline
• 3-5 years of Personal Trading compliance experience in Asset Management or a related field.
• Understanding of the Investment Advisers Act of 1940 and the Investment Company Act of 1940, specifically Rule 206(4)-7 and 38a-1
• Strong organizational, analytical, and communication skills.
• Competency in MS PowerPoint, Excel, and Word formatting; experience with FIS Employee Compliance Manager is a plus.
• A passion for problem-solving, multi-tasking, and thriving in a fast-paced environment.

Why This Role Stands Out: By joining this firm, you’re stepping into a culture that values professional development and career advancement. With exposure to key projects and decision-makers, you’ll build a diverse skill set while enhancing your industry credentials. The firm’s emphasis on work-life balance ensures that you have the support you need to excel personally and professionally.

Benefits Beyond the Ordinary:

• Premier company paid health benefits, including mental wellness programs and concierge primary care.
• Paid parental leave, family planning support, and profit-sharing retirement plans.
• Wellness reimbursements and hybrid work flexibility (2 remote days per week).

Compensation:
Base salary: $115,000 – $130,000** with discretionary bonus and growth potential tied to experience and expertise.

If you are ready to make your next move a strategic one, Apply Now!

 **Individual salaries for this role may vary based on various factors, including years of experience, range in corporate level, candidate skills, and geographic location.