Compliance Analyst, Finance & Banking

Company Overview

Soros Fund Management LLC (SFM) is a global asset manager and family office founded by George Soros in 1973. With $28 billion in assets under management (AUM), SFM serves as the principal asset manager for the Open Society Foundations, one of the world’s largest charitable foundations dedicated to advancing justice, human rights, and democracy.

Distinct from other investment platforms, SFM thrives on agility, acting decisively when conviction is high and exercising patience when it’s not. With permanent capital, a select group of major clients, and an unconstrained mandate, we invest opportunistically with a long-term view in a wide range of strategies and asset classes, including public and private equity and credit, fixed income, foreign exchange, and alternative assets.

Our teams operate with autonomy, while cross-team collaboration strengthens our conviction and empowers us to capitalize on market dislocations.

At SFM, we foster an ownership mindset, encouraging professionals to challenge the status quo, innovate, and take initiative. We prioritize development, enabling team members to push beyond their roles, voice bold ideas, and contribute to our long-term success. This culture of continuous growth and constructive debate fuels innovation and drives efficiencies.

Our impact is measured by both the returns we generate and the values we uphold, from environmental stewardship to social responsibility. Operating as a unified team across geographies and mandates, we remain committed to our mission, ensuring a meaningful, lasting impact.

Headquartered in New York City with offices in Greenwich, Garden City, London, and Dublin, SFM employs 200 professionals.

SFM is seeking a detail-oriented and proactive Junior Compliance Analyst to join its New York-based Legal and Compliance team. This role will primarily support the firm’s Personal Account Dealing (PAD) program and Code of Ethics compliance, while also contributing to systems enhancements, testing, process documentation, and policy development.

This is an excellent opportunity for an intellectually curious, early‑career professional eager to learn and build a strong foundation in compliance. The ideal candidate will demonstrate professionalism, take direction well, and actively incorporate feedback.

• Manage compliance onboarding for all new employees, including new hire certifications and required training programs
• Maintain the restricted list, including timely additions and removals of issuers and ensuring ongoing accuracy of issuer information
• Administer Code of Ethics policies and procedures related to employee disclosures via Comply Sci, ensuring adherence to firm requirements
• Coordinate regulatory filings with the Federal Reserve, including TIC, SHCA, and SHLA reports, ensuring submissions are accurate and timely
• Monitor US and UK treasury auctions and escalate relevant findings to senior compliance staff
• Administer the Personal Account Dealing (PAD) program, including pre‑clearance requests, ongoing monitoring, and conducting targeted reviews
• Provide ECM trading coverage support on an as‑needed basis
• Perform conflict checks related to employee and firm business activities, documenting findings and escalating issues as appropriate
• Participate in compliance system evaluations, enhancements, and user acceptance testing
• Assist in drafting and updating policies, procedures, and the Compliance Manual to reflect regulatory and operational changes
• Support broader Compliance and firm‑wide strategic initiatives as directed

• Bachelor's degree required; coursework or concentration in finance, economics, law, or a related field preferred
• 2–4 years of relevant experience in asset management business, regulatory agencies, financial services consulting, or a related compliance function
• Demonstrated interest in financial markets, investment management, and the regulatory environment governing them
• Exceptional attention to detail with strong organizational skills and the ability to manage multiple priorities with a high degree of accuracy
• Clear and professional written and verbal communication skills, with…