Compliance Analyst, Finance & Banking

Job Overview – Compliance Analyst

Compensation: $125,000 – $150,000/year base ($175,000 - $200,000 All In)

Location:

New York, NY

Schedule:

Monday to Friday (Hybrid)

Atlantic Group is hiring a Compliance Analyst in New York, NY for our client, supporting regulatory compliance, compliance monitoring, policy administration, and risk management activities within a financial services environment. This opportunity will partner with compliance, legal, operations, and business teams to support regulatory requirements, internal controls, employee compliance programs, and ongoing compliance initiatives. The ideal candidate will bring compliance experience within investment management, asset management, financial services, or another regulated industry, along with strong analytical, organizational, and problem‑solving skills.

• Employee Compliance Monitoring: Support employee compliance programs, including personal trading reviews, certifications, disclosures, and other compliance monitoring activities.
• Due Diligence & Vendor Reviews: Assist with compliance reviews, diligence processes, and documentation related to third‑party vendors, consultants, and external service providers.
• Marketing & Communications Review: Support the review of investor communications, marketing materials, due diligence questionnaires, and other external‑facing content for regulatory compliance and accuracy.
• Compliance Program Administration: Maintain compliance records, policies, trackers, certifications, and reporting workflows while supporting testing and monitoring activities.
• Regulatory Support: Assist with regulatory filings, annual reviews, compliance training initiatives, policy updates, and internal control processes.
• Process Improvement: Identify opportunities to improve compliance workflows through automation, technology solutions, and operational enhancements.

• Education: Bachelor’s degree is required.
• Experience: 2–4 years of experience in compliance, legal, risk management, operations, financial services, investment management, or a related field is required.
• Industry Knowledge: Experience supporting a regulated financial services organization, investment adviser, asset manager, broker‑dealer, or alternative investment firm is preferred.
• Technical
  
  Skills:
  
  Proficiency with Microsoft Office Suite, compliance systems, workflow tools, automation platforms, and AI‑enabled technologies is required.
• Skills & Attributes: Strong organizational, analytical, and communication skills with exceptional attention to detail, sound judgment, discretion, and the ability to manage multiple time‑sensitive priorities are required.

Application Notice:
Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, Atlantic Group will keep your resume on file for future opportunities and may contact you for further discussion.