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Compliance Analyst (RIA)

100k/year - 150k/year
New York City, NY

Total compensation is targeted at $100K - $150K. To be determined on candidate's credentials, experiences, and potential value to the department / firm.


Compliance Analyst


Our client is a global alternative asset manager (~40 Billion AUM), with a specialized expertise across four asset classes (private debt, real assets, private equity and capital markets strategies) as well as multi-asset and special opportunities strategies.  Currently, they seek to hire a Compliance Analyst to work closely with the Chief Compliance Officer to help enforce the Compliance Program in the Americas.  This position will offer an excellent learning opportunity and offer great advancement opportunities within a stable and growing firm.


Responsibilities will include (but not be limited to):

Working closely with the CCO, this role will be responsible for:

  • Reviewing and updating compliance policies and procedures.
  • Executing periodic compliance controls over the activities in the Americas.
  • Assisting with investment compliance.
  • Reviewing and approving of marketing materials.
  • Running conflict checks on investment opportunities.
  • Administrating the Firm’s Code of Ethics.
  • Coordinating and contributing to periodic compliance reporting
  • Coordinating regulatory filings
  • Developing compliance training materials and providing compliance training to local and international offices
  • Contributing to global compliance projects



  • Degree in Finance, Economics, Business or relevant courses of study.
  • 2-7 years of regulatory compliance experience (with a US Registered Investment Adviser, preferred).
  • Working knowledge of relevant federal securities laws and associated rules and regulatory positions thereunder.
  • Ability to exercise discretion and make independent judgments on matters of significance.
  • Strong presentation skills.
  • Demonstrated professional integrity.
  • Ability to work well in a fast-paced, small-team environment.
  • Ability to work independently, multi-task, and prioritize effectively to hit deadlines.
  • Establish and maintain effective working relationships with colleagues.
  • Highly motivated and goal-oriented.
  • Excellent verbal and written communication skills.
  • Strong PowerPoint and Excel skills.