Compliance Analyst

5 - 7 years experience  • 

Salary depends on experience
Posted on 03/21/18
5 - 7 years experience
Salary depends on experience
Posted on 03/21/18


The Compliance Analyst’s responsibilities will include the following:

  • Conduct testing and surveillance of firm activity using forensic testing methodologies, such as data analytics and patterned-based testing
  • Analyze testing results to confirm consistency with the firm’s compliance policies, procedures and controls and to identify activity falling outside of those controls
  • Monitor electronic communications for potential suspicious activity and escalate results accordingly
  • Coordinate reporting and escalation of items arising from testing and eCommunications surveillance
  • Support enhancements to testing and surveillance tools and applications by coordinating with Information Technology
  • Support initiatives to enhance current forensic testing and surveillance and identify additional testing to address the firm’s regulatory and compliance risks
  • Participate in department or firm-wide project based initiatives


The successful candidate will possess the following qualifications:

  • College undergraduatedegree with 5-or more years of compliance-related experience
  • Experience with regulatory forensic testing and surveillance techniques,  with a specific focus on the asset management industry preferred
  • Knowledge of asset management compliance program related rules and regulations
  • Knowledge of trading, securities markets, and investment products
  • Inquisitive mindset - appropriate level of skepticism and curiosity
  • Strong analytical and problem solving skills
  • Highly comfortable with data
  • Highly-organized and detail-oriented; demonstrated planning and organizational skills
  • Ability to manage multiple initiatives simultaneously
  • Strong written and oral communication/presentation skills 
  • Knowledge/familiarity with compliance-related technologies
  • Capable of instilling confidence with senior management and legal team
  • Global outlook


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