Compliance Analyst - Investment Firm

Our client is a respected investment firm seeking a Compliance Analyst for their Greenwich, Connecticut office. The position offers the option to work flexibly in a hybrid setting if needed. This role will be one of two Compliance Officers supporting the firm. As the sole Compliance Officer based in the Greenwich office, the ideal candidate will serve as the face of the firm’s Compliance Program locally, ensuring adherence to regulatory requirements and supporting ongoing compliance initiatives. This position offers a competitive salary and excellent growth opportunities!

Job Function

• Review client communications and quarterly reports for registered funds.
• Perform compliance testing and monitoring related to registered funds.
• Assist in maintaining and updating policies and procedures in response to new regulatory developments affecting registered funds.
• Support company-wide training initiatives to ensure compliance with SEC and FINRA requirements.
• Facilitate the preparation of Fund Board materials and assist with Board reporting.
• Monitor industry-wide compliance trends and significant federal and state regulatory changes, analyzing their impact on company activities.
• Perform other duties as assigned by the Chief Compliance Officer.
  
  
  

Job Requirements

• Bachelor’s degree in a related field.
• 2 - 5 years of compliance experience within a Registered Investment Adviser (RIA) managing ETFs or Mutual Funds, including implementation and monitoring of compliance guidelines.
• Familiarity with Broker-Dealer compliance requirements related to registered representatives is preferred.
• Knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940, and relevant FINRA rules.
• Experience in investment management, wealth management, or fintech, with a solid understanding of compliance regulations governing registered products.
  
  
  

Disclosure: The hourly rates and/or salaries listed may or may not reflect total compensation packages including bonus and fringe benefits, etc., nor are the advertisement(s) posted a guarantee of a certain compensation package for a position or bona fide offer of employment. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, or protected veteran status and will not be discriminated against on the basis of disability.

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