Senior Compliance Analyst, Portfolio and Trading

• Job Description

Step into the Next Phase of Your Career with a Global Investment Powerhouse

Join a premier firm managing over $190 billion in assets, known for its commitment to integrity, collaboration, and innovation. Here, your work will have a tangible impact, driving not just the firm’s success but also your own professional journey. Due to internal growth and promotions, this role offers more than a job—it’s a career accelerator.

Why Join Our Client?
This isn’t just a compliance role; it’s an opportunity to make your mark. You’ll lead critical portfolio and trading compliance initiatives while collaborating closely with investment professionals and C-suite leaders. Here, you’ll gain exposure to cutting-edge investment strategies while being empowered to lead process improvements and strategic projects. Your growth will be supported by mentorship, continuous learning opportunities, and leadership pathways.

Key Responsibilities:

• Monitor equity portfolio guidelines and restrictions using proprietary systems
• Collaborate with Portfolio Managers to resolve trading activity exceptions
• Lead compliance-focused system upgrades and enhancements
• Review broker restrictions and ERISA eligibility for new offerings
• Prepare client compliance reports (monthly/quarterly)
• Support account onboarding with cross-department collaboration

Your Expertise:

• Bachelor’s degree is required
• 3-5 years of Portfolio / Trading compliance related experience
• Knowledge of the Investment Advisers Act of 1940 and foreign regulations
• Deep understanding of equity instruments and capital markets
• Strong relationship-building and problem-solving skills

What You’ll Receive

• Competitive salary ($110,000 – $130,000 DOE**) + discretionary annual bonus
• Comprehensive, company-paid benefits – including premium medical, comprehensive parental leave, mental wellness, retirement profit sharing, family planning support, and more!
• Hybrid work model for work-life balance
• A culture that values growth: with mentorship, leadership opportunities, and room to rise

Here, your expertise won’t just be recognized—it will be nurtured, enhanced, and advanced. If you are ready to take the leap, Apply Now!

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