Investment Compliance Specialist

Title: Compliance Analyst

Duration: Full-Time/Permanent

Location: Alpharetta, GA- Onsite

We are seeking a highly motivated Compliance Analyst to join our firm in Alpharetta, Georgia. This role is key to ensuring trading activities comply with securities laws, regulations, and investment guidelines. The successful candidate will develop, monitor, and maintain trade compliance rules in the order management systems and engage with internal and external compliance stakeholders. This position is part of the Compliance Department of our company.

Responsibilities:

• Maintain and monitor pre- and post-trade compliance rules in order management systems.
• Analyse daily trades for compliance with the Investment Company Act of 1940, UCITS, and prospectus limits.
• Flag and escalate suspicious or non-compliant activity.
• Improve compliance rule accuracy and analyse related data and filings.
• Conduct audits to test control effectiveness and maintain compliance records.
• Support new account onboarding and launch calls.
• Collaborate with internal teams and external partners.
• Monitor regulatory changes and help implement updated policies.
• Complete client and third-party compliance questionnaires.
• Perform additional duties as assigned.

Qualifications:

• Experience in ETF/mutual fund trade compliance required; Bloomberg CMGR a plus.
• Detail-oriented with strong organizational and communication skills.
• Self-motivated, proactive, and able to work independently or in a team.
• Proficient in Microsoft Office.
• 1–3 years of relevant experience.
• Bachelor’s degree or equivalent experience.
• Commitment to core values: Collaboration, Authenticity, Curiosity, Performance, and Humility.

What Do We Offer?

• PTO 10 paid holidays
• Flexible work benefits
• Daily paid lunch (on-site)
• On-site gym discount
• Medical, Dental, Vision
• EAP & mental health telehealth
• Short/Long Term Disability
• SIMPLE IRA with 3% match