Compliance Analyst, Finance & Banking
Job in
New York, New York County, New York, 10261, USA
Listed on 2026-07-01
Listing for:
Social Capital Resources
Full Time
position Listed on 2026-07-01
Job specializations:
-
Finance & Banking
Financial Compliance, Regulatory Compliance Specialist, Risk Manager/Analyst
Job Description & How to Apply Below
Compliance Analyst
• Social Capital Resources
• NYC
Top‑Tier Investment Management Firm in NYC is seeking a full‑time Compliance Analyst
.
Pay Range: $80,000 – $90,000 per year (base pay).
Direct message the job poster from Social Capital Resources.
Responsibilities- Perform portfolio and trade surveillance to ensure that the firm maintains compliance with client guidelines and regulatory requirements.
- Assist with mutual fund trade restrictions, guidelines, and 1940 Act limitations on Charles River OMS.
- Oversee post‑trade compliance program at fund administrator. Review prospectus and SAI updates and update compliance testing matrices.
- Assist with post‑trade and end‑of‑day batch investment compliance monitoring activities for client accounts and mutual fund portfolios.
- Ongoing review and maintenance of the monitoring and testing program for the advisers and funds.
- Conduct transactional, forensic testing and compliance reviews for adviser and fund portfolios.
- Bachelor's Degree
- 1‑3 years of experience working in compliance
- 1+ years of experience working in compliance at an Investment or Asset Manager is a plus
- Knowledge of the 1940 Act is a plus
Associate
Employment TypeFull‑time
Job FunctionFinance
IndustriesInvestment Management
Benefits- Medical insurance
- Vision insurance
- 401(k)
- Paid maternity leave
- Disability insurance
- Paid paternity leave
Referrals increase your chances of interviewing at Social Capital Resources by 2x.
#J-18808-LjbffrTo View & Apply for jobs on this site that accept applications from your location or country, tap the button below to make a Search.
(If this job is in fact in your jurisdiction, then you may be using a Proxy or VPN to access this site, and to progress further, you should change your connectivity to another mobile device or PC).
(If this job is in fact in your jurisdiction, then you may be using a Proxy or VPN to access this site, and to progress further, you should change your connectivity to another mobile device or PC).
Search for further Jobs Here:
×